SCHUBERT’S

MATURE
INSTRUMENTAL
MUSIC
A T H E O R I S T’S
PERSPECTIVE

DAVID BEACH
 Schubert’s Mature Instrumental Music

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 Eastman Studies in Music
Ralph P. Locke, Senior Editor
Eastman School of Music

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Edited by David Beach and Yosef Goldenberg

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A complete list of titles in the Eastman Studies in Music series may be found
on the University of Rochester Press website, www.urpress.com

Beach.indd ii 4/4/2017 4:31:08 PM

 Schubert’s Mature
Instrumental Music

A Theorist’s Perspective

David Beach

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 The University of Rochester Press gratefully acknowledges the Otto Kinkeldey
Endowment of the American Musicological Society, funded in part by the National
Endowment for the Humanities and the Andrew W. Mellon Foundation, for
generous support of this publication.

Copyright © 2017 by David Beach

All rights reserved. Except as permitted under current legislation, no

part of this work may be photocopied, stored in a retrieval system,
published, performed in public, adapted, broadcast, transmitted,
recorded, or reproduced in any form or by any means, without the
prior permission of the copyright owner.

First published 2017

University of Rochester Press

668 Mt. Hope Avenue, Rochester, NY 14620, USA
www.urpress.com
and Boydell & Brewer Limited
PO Box 9, Woodbridge, Suffolk IP12 3DF, UK
www.boydellandbrewer.com

ISBN-13: 978-1-58046-592-2
ISSN: 1071-9989

Library of Congress Cataloging-in-Publication Data

Names: Beach, David, 1938– author.

Title: Schubert’s mature instrumental music : a theorist’s perspective / David Beach.
Other titles: Eastman studies in music ; v. 142.
Description: Rochester : University of Rochester Press, 2017. | Series: Eastman
studies in music, ISSN 1071-9989 ; v. 142
Identifiers: LCCN 2017011120 | ISBN 9781580465922 (hardcover : alk. paper)
Subjects: LCSH: Schubert, Franz, 1797–1828. Instrumental music. | Instrumental
music—19th century—Analysis, appreciation.
Classification: LCC ML410.S3 B33 2017 | DDC 784.092—dc23 LC record available
at https://lccn.loc.gov/2017011120

A catalogue record for this title is available from the British Library.

This publication is printed on acid-free paper.

Printed in the United States of America.

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 Contents
Preface vii

Part One: Topics

1 Harmony 3

2 Phrase Rhythm 38

3 Motive 61

4 Sonata Form 79

Part Two: Analyses

5 Three Scherzo Movements 99

6 Two Piano Sonata Movements 124

7 Two Quartet Movements 148

8 A Slow Movement and a Finale 174

Epilogue: Thoughts on Schubert’s Mature Instrumental Style 196

Notes 200

Selected Bibliography 206

Index of Musical Works 209

Index of Subjects 211

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Beach.indd vi 4/4/2017 4:31:15 PM
 Preface
My interest in the music of Franz Schubert and others dates back to my youth
when I would play my parents’ records—the old 78s—over and over. There
were only a few recordings: Mozart’s Symphony no. 40, Beethoven’s Fifth
Symphony, and Schubert’s “Unfinished” Symphony (which perhaps explains
my fondness for the minor mode!), plus short works by Wagner, Khachaturian,
and Shostakovich. That was my musical universe, except for the radio, until my
seventh-grade year, when I was fortunate to be enrolled in a music apprecia-
tion course. Now skip ahead to the 1980s, when I had a term leave from my
teaching duties at the Eastman School of Music. This is when I began to study
in depth works by Schubert, particularly the late chamber music. The results
of this work over the years are the articles listed under my name in the bibliog-
raphy. This project draws on this material, while adding much that is new, and
presents it in a different way.
There has been quite a swell of interest in Schubert’s music in recent years,
resulting in several books and articles that are listed in the bibliography. Some
of these works—here I am thinking of Suzannah Clark’s Analyzing Schubert
(Cambridge: Cambridge University Press, 2011) and Susan Wollenberg’s
Schubert’s Fingerprints: Studies in the Instrumental Works (Farnham, UK: Ashgate,
2011)—are written from a very different perspective than mine. The primary
value of Clark’s book, at least from my perspective, is her survey and critique of
the biographical and theoretical literature about Schubert and his music from
his time to the present. She draws on numerous contemporary sources in her
observations, but she does so without presenting a coherent concept of the
music. Wollenberg’s book, on the other hand, focuses more on the music and
offers numerous musical examples. Its value—again, from my perspective—lies
in the observations the author makes about the characteristics of Schubert’s
style (e.g., modal mixture, portrayal of violence, construction of themes, etc.).
The work that is closest to mine is David Damschroder’s Harmony in Schubert
(Cambridge: Cambridge University Press, 2010). Like this work, Damschroder’s
is divided into two parts, the first outlining the author’s approach and the
second presenting a series of analyses. However, there are significant differ-
ences. First, Damschroder’s analyses are reactions—a series of counteranaly-
ses—to the work of others, whereas I am interested only in presenting my own

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 viii ❧ preface

observations about the music without offering critiques of the work of others.
Despite Damschroder’s polemics, there are many good observations in these
chapters. Second, and certainly more important, is our differing approach to
the labeling of harmonies. He proposes a system that in my opinion is far too
rigid, and certainly not user-friendly for those not schooled in Schenkerian
theory. I am partially sympathetic to what Damschroder is trying to accomplish:
to wean students away from the over-labeling of chords and to direct them to
understand the underlying patterns. I prefer to deal with harmony at multiple
levels, including chord-to-chord syntax as well as underlying patterns. To say
this differently, Damschroder’s dogmatic approach widens the gap between
beginners and advanced practitioners, while I am attempting to narrow that
gap, to communicate with a wider audience (a difference that is evident in our
approaches to graphing as well).
Before discussing Schubert’s Mature Instrumental Music, I would like to follow up
on a comment made by Janet Schmalfeldt in her interesting book, In the Process of
Becoming: Analytical and Philosophical Perspectives on Form in Early Nineteenth-Century
Music (New York: Oxford University Press, 2011), in which she decries the fact
that she was not exposed to a rigorous theory of formal organization in conjunc-
tion with her training in Schenkerian theory and analysis. My experience has
been a bit different, but I think Janet’s comment raises a crucial issue. Too often
the two—formal analysis and Schenkerian voice-leading analysis—are placed
in an adversarial or either-or position rather than treated as complementary
approaches to understanding musical organization. Indeed, the two approaches
provide us with different information—sometimes conflicting information—that
is not only interesting in itself but crucial to understanding the resulting dynamic
tensions. In my own teaching of analysis, I would normally consider aspects of a
work’s formal organization and other aspects of musical design (theme, motive,
key, hypermeter, etc.) before examining the voice leading at various levels. While
it is certainly feasible to do the one without the other, from my perspective this
leads to only a partial understanding of a work’s dynamics. Those who have read
some of my previous publications will recall that I advocate being as clear as pos-
sible in our indication of just what we are talking about, aspects of musical design
or of musical structure, which is crucial if we are comparing the two. I use the
term design to designate formal organization at all levels, keys, theme/motive,
and hypermeter; and structure to designate voice leading at various levels. There
is really nothing new in this idea, but still the two can be and are frequently con-
fused. The terms formal design and voice-leading structure are perfectly clear. But
what is the distinction between tonal design and tonal structure? For me the first
indicates the key plan of a work, which is an entirely different matter than its
voice-leading structure.
Schubert’s Mature Instrumental Music is an analytical study of selected works
written during the last six or seven years of the composer’s brief life. There

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 preface ❧ ix

is one exception. I have included the “Trout” Quintet (1819), because it pro-
vides a number of clear examples to illustrate my points in the introductory
chapters, including his unique treatment of key relationships in some of his
sonata-form movements. The main focus is on the chamber music, less so on
the piano sonatas and symphonies; I have not attempted to be comprehensive,
but rather to focus on a representative number of works. The presentation is
divided into two parts: Topics and Analyses. The first part contains four chap-
ters: “Harmony,” “Phrase Rhythm,” “Motive,” and “Sonata Form.” The chapter
on harmony opens with an example illustrating my system of labeling har-
monic progression at different levels. This is followed by several categories of
harmonic focus in Schubert’s late music, beginning with his use of the diatonic
progression I–vi–IV, which occurs with surprising frequency at different levels
of structure. This is followed by his use of chromaticism: modal mixture, III♯,
♭VII–V, chains of descending thirds, and chromatic modulation. The chapter
ends with what I have labeled “truncated progressions.” The chapter on phrase
rhythm provides definitions and illustrations of hypermeter and phrase over-
lap, followed by a discussion of Schubert’s treatment of phrase expansion. The
third chapter deals with motive, including his use of motto and motto themes
(introductory themes that recur in the course of the movement); it ends with
examples of motivic/thematic transformation. The final chapter in this first
part deals with a topic that has been written about extensively, Schubert’s treat-
ment of sonata form. Following a discussion of his formal/tonal strategies,
there are sections dealing with his first themes and transitions to the second
key area, and with his development sections.
Part 2 presents a series of analyses of individual works. Here the reader will
encounter Schenkerian graphs, mostly foreground graphs that are relatively
easy to follow by comparing them to the music. My original conception of this
second part was to organize it by movements, that is, by initial movements,
slow movements, scherzi, and finales. Eventually I abandoned that idea based
on what I had already published and what I had studied and not studied over
the years. Instead I have presented a series of analyses as follows: three scherzo
movements; two piano sonata movements; and two string quartet movements.
Like many, I have focused on Schubert’s unique approach to sonata form at
the expense of his finales and his slow movements; to compensate in some
small way for the lack of attention in these areas, my final chapter presents
analyses from two of Schubert’s very last works, the beautiful second movement
of the B-flat Piano Sonata and the absolutely delightful finale from the String
Quintet. This is followed by an epilogue, a reflection on Schubert’s late instru-
mental style.
In some respects this book is technical. As indicated by the subtitle, it is writ-
ten from the perspective of a music theorist. But it is my hope that this volume
will reach a wider audience than just my theory colleagues. It is directed at all

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 x ❧ preface

musicians interested in Schubert’s music. I am told that my commentary some-

times has an instructional tone, which is not surprising, given my background.
I do not apologize for this tendency, since I am attempting to lead some of
my readers into what may be unfamiliar territory. The analyses, particularly
those in part 2, are my interpretations of individual movements. While I have
attempted to be thorough, there is inevitably more that might be said about
these fascinating works.
In closing, let me say a few words about my graphs in part 2. First, in my
foreground graphs, I have a habit of drawing in bar lines to make it easier
to follow my interpretation of the voice leading. Second, my interpretation of
the hypermeter is provided between the staves. And third, you will occasionally
come across several empty bars, which indicates that the preceding idea has
been repeated, either literally or varied in some fashion. This saves time and
space. Finally, my notation of pitch in the text follows the system adapted by
the Acoustical Society of America, where middle C is designated as C4.
I would also like to take this opportunity to extend my thanks to the vari-
ous individuals whose input contributed to the final product: to the readers of
my original manuscript, whose thoughtful suggestions led to several improve-
ments; to Massimo Guida for his excellent work setting the numerous musical
examples and graphs; to Carrie Crompton for her careful editing of the text;
and to Julia Cook, Tracey Engel, and Sonia Kane, editors at the University of
Rochester Press, for seeing the book through the various stages of publication.
Finally, I would like to thank my colleagues and students, from whom I have
learned much over the years.

David Beach
Santa Rosa, California
December 2016

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 Part One

Topics

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Beach.indd 2 4/4/2017 4:31:17 PM
 Chapter One

Harmony
A logical starting point for our investigation into Schubert’s late instrumental
music is his use of harmony. Fundamentally, Schubert’s harmonic language is
that of his contemporaries and immediate predecessors, but there are aspects
of that common language—particular emphases—that we can identify as hall-
marks of his harmonic practice or style. Just what are these hallmarks? It may
seem surprising to some that I will begin my presentation with the common
diatonic progression I–vi–IV (or i–VI–iv in the minor mode). I have done so
because Schubert employs this progression in such a wide variety of contexts,
including large-scale harmonic motion across formal boundaries. We then
turn our attention to his use of chromaticism, beginning with modal mixture,
often cited as a characteristic of Schubert’s harmonic practice. This is followed
by sections detailing his employment of III♯ in various contexts, the progres-
sion ♭VII–V, and chains of descending major thirds. The next section presents
examples of chromatic modulation, emphasizing those involving the inter-
change of the German augmented sixth chord and V7, and the chapter ends
with what I have labeled “truncated progressions.”
I will begin with an introductory example: the first fifty measures from the
first movement of the Piano Trio in E-flat Major (D. 929)—the first theme and
the transition to the second subject and key, which is reproduced with analyti-
cal additions as example 1.1. This complex passage illustrates many of the top-
ics to be discussed later in this and in subsequent chapters,1 and at the same
time, it provides an opportunity to indicate my approach to the music, includ-
ing my system of labeling harmonies. On the score I have marked the major
formal divisions of this passage: theme 1 (mm. 1–35), the transition (mm.
36–48), and the initial measure of theme 2. In addition, I have indicated two
separate components of theme 1: 1a, the opening four-measure idea, an elabo-
ration of the descending arpeggiation of the tonic triad; and 1b, the motive
introduced by the cello in measures 16–18. This and subsequent statements
of this idea are highlighted by brackets. Metric groups are indicated by arabic
numerals between or above the piano staves, whichever is more convenient in

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 Example 1.1. Piano Trio in E-flat Major, D. 929 (I), mm. 1–50
Theme 1

° b 3 ˙™
Allegro j j j
pizz. arco

Violino & b b 4 ˙ œ œ œ œ. œ Œ Œ Œ Œ Œ œœ ‰ œ ‰ œ ‰ Œ Œ œœ Œ œœ
. œ. œ œ œ. œ œ. œ. œ œ œœ œœ
1a f p . f
? b 3 ˙™ œ . œ. œ. Œ pizz.
Œ Œ œj ‰ œj ‰ œJ ‰ Œ
arco
Violoncello
¢ b b4 ˙ œ œ œ œ. œ œ Œ Œ œ œ œ. Œ
œœ Œ œœ
f
. . p f
Allegro
˙™ ˙ . . .
b ˙™ ˙ œ œ œ œ œ. . .
œ Œ Œ Œ Œ œœ. œœ. œœ œœ Œ œ œ œ. œ. œ œ Œ n œœ œœ œœ
3
&b b 4 œ œ œ œœ œ. œ œ œ œ nœ œ Œ œœ œœ Œ
Pianoforte

{ b b4
Eb:
f ˙™ 1 2
? b 3 ˙™ ˙
˙
I
3
œ œ œœ
IV
.
œ œ œœ œ œ.
œ.
I
4, 1 p. . .2 .

h i Vg
6
3
œ Œ Œ Œ Œ œœœ œœœ nœœœ œœœ Œ & œ
œ
V24
œ
. œ.
4
œ. œ. Œ

I6
?
f

œœ
5
œœ œœ Œ œœ œœ Œ
œœ
6

IV
vi
Eb: I IV

11 œ œ ˙™
° bb Œ œ ˙™ ˙ ™™ ˙˙ œ. œ. 3 3 3
ææ æ ææ æææ æ æ æ æ æ æ æ æ æ
& b ˙
œ œ œœ œœ œœ ™™ œœ ™™ œœ ™™ œœ ™™ œœ ™™ œœ ™™ œœ ™™ œœ ™™ œœ ™™œœ ™™œœ ™™ œœ ™™œœ ™™œœ ™™ œœ ™™œœ ™™œœ ™™
ff sf fp f p

?b
1b œ nœ œ œ œ œ. . nœ œ nœ œ nœ œ
¢ bb Œ œ œ œ œ b˙ ™ œœœ œ œ. Œ œ œ. œ. Œ
œ ™ œ œœœ . œ. . f p
ff sf fp
. . ™
. œ. œ. œ. œ œ ˙˙™ œœ. œ. œ.
1 2 3 . œ. œ. 4, 1
b œ ˙˙ œ œ œ œœ. Œ n œ. œ œ œ
&b b œ œ œ œ œ œ ˙ œœ œœ œœ œ œœ œœ œ ∑ ∑ Œ Œ Œ ∑

{ . œ. œ.
ff sf 2 f
7 8/1 3 fp 4
? bb œ ™™ œ œ œ œ ™ œ œœœœ œ b ˙ œ œ œ œ œ œ. œ. nœ. œ œ œ
bœ œ. œ. œ œ ™ bœ œ œ œ œ œŒ ∑ ∑ Œ Œ Œ ∑
. . œ. 4 7
4 3
V I O V2 R IV V Bb (V): I V
V I IV V

21
° b æ æ æ æ™ æ™ æ™ æ™ æ™ æ™ œ ˙™ œ bœ . . ˙™
& b b œœ ™™ œœ ™™nœœ ™™ œœ ™œœ ™œœ ™ œœ ™ œœ ™ œœ ™ bœ. œ. œ. bœ œ. œ. b˙ ™ b˙ ™ bœ. œ. œ. bœ œ b˙ ™ ˙™
˙™ ˙™
f ff sf sf sf sf sf sf

?b
œ œ .
nœ œ. œ. œ. Œ œ#œ œ
bœ. œ. œ.
œ bœ . . ˙™
œœ ˙™ b œ. œ. œ. B œ b œ bœ. . ?
˙™ œ ˙™
¢ bb ˙™ ˙™
f ff sf sf sf sf sf sf
2 3
. 4.
. œ. œ œ bbb˙˙˙ ™™™™ ˙™ bœ. œ. œ b œ œ œ. . b˙ ™ bœ œ œ. œ.
b
&b b ∑ ŒŒ œ œ œŒ ˙ b˙˙˙ ™™™ bœ œ œ bœ œ bœ bb ˙˙ ™™™ ™
bbb˙˙˙˙ ™™™ bœ œ œ bœ œ œœ
˙

{
. b œ. œ. œ
ff 1 sf 2 3 sf 4, sf 1 sf 2 3 . sf 4,
. œ. œ. b ˙˙ ™™ œ œ. . b˙˙ ™™
f
? bb Œ Œ œ. œ œ œ Œ bbb˙˙˙ ™™™™ b˙˙ ™™ bœ. œ. œ. b œ b
bbb˙˙˙˙ ™™™™
bœ œ
b ∑
˙ bœ œ bœ b ˙˙ ™™ bœ. œ œ bœ
. . œ bnœœ œœ
6
n œ. œ.
I Gb (bIII): I V vi iii IV I ii
iv V

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 Example 1.1.—(concluded)
Transition
Ÿ œ Ÿ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Ÿ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
œœ œ œœ Œ Œ œœ œ œ b>œ œ
32
° b
& b b nœ œ™œ œ œ œœœœ œ . nœ. . bœ. œ b˙ ™
. œ œ ˙™
œ
sf sf p fp cresc. sf
œ œ œ. nœ. œ. b >œ œ bœ. . bŸ˙~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Ÿ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
?b œ œ œ ™ œ œ ˙™
¢ bb œ œ œ œœœœnœœ œœ Œ œ œ
œ
sf sf p fp cresc. sf

bœnœ b œ n œ œ “”
b œ
.
œœ œ œœ. œœ. œœ Œ œœœ. œbœ nœ œ n œ b œ n œ œ bœnœb œ n œ
& b b œ œœœ œ. œ. œ œ œ. œ œ Œ ∑ ∑ œ nœ œ bœnœ œ nœ

{
. . œ.
1 2 sf 3 sf 4 1 2 p 3 cresc. 4
œ. nœ. .
œ œœ. bœnœb œ n œ
? bb œœ œœ œ œ bœ nœ œ
bœ œ œœ œ œ nœ œœœ œ Œ œœ œ Œ ∑ ∑ bœ nœ œ nœ bœ nœ œ bœ nœ
œ n œ œ bœnœ œ nœ œ
&
. . . . œ. œ.
I IV V ¼III I

40 œ œ Ÿ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
° b >
&b b
œ
œ Œ œœ œ. nœ. œ. bœ œ bœ. œ b˙ ™ ˙™
œ œ œ .
f sf sf p cresc.

> Ÿ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
?b
œ
œ œ œ. nœ. œ. b œ œ bœ. œ. b˙ ™ ˙™
Œ œœ œ
¢ bb œ œ œ
f sf sf p cresc.

<“> b œ. bœnœ œ
b . œœœ. œ nœ œ bœ nœb œ n œ b œ n œ œ b œ n œ
& b bœ Œ
b œ œ Œ ∑ ∑ bœ nœ bœ nœ œ nœ œ bœ nœ

{ . 5 . 6 1 2 p 3 4
b bœ œœ.
cresc.

&b b Œ? œœ œ Œ ∑ ∑ œ bœ nœ bœ nœ œ
& œ nœ œ bœ nœ bœ nœ bœ nœ
b œ. œ. b œ n œ œ n œ œ n œ œ bœ nœ
V ¼III ( = V of bvi )

Theme 2

° b Kr Ÿ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
46

& b b nœ #˙ ™ œœœœ œ œœœœ œ œœœœ

˙™ #œ #œ
n œ. #œ. œ. œ. œ. #œ. œ. œ. œ. œ. #œ œ œ œ œ
f sf pp

?b Ÿ
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ nœ. œ. œ. œ. nœ. œ. œ. œ. œ. nœ œ œ œ œ
¢ b b nœKr #˙ ™ ˙™ # œ #œ
nœ.
f sf pp (1 2 )

#œ nœ œnœ œ#œ œ. œ. œ. œ. œ.
b n œ # œ œ#œ #œ #œ œ nœ
&b b J œ#œ nœ#œ œ
#œ nœ œ# œ n œ Œ Œ ∑

{
5 6 1 1
f ff pp
nœ œ œœœ œœœ œœœ ##n#œœœœ
b #œ ###œœœ œœœ œ œ œ œ. œ. œ. œ. œ.
&b b J ? J J ###nœœœœ œœœœ œœœ œœœ œœœ
œ œ œ nœœ Œ Œ ∑ &

O V7 R ¼vi
b: i

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 6 ❧ chapter one

terms of available space. The first phrase (mm. 1–12) consists of metric groups
of four and eight. Note the metric reinterpretation in measure 12 (8/1),
where the first phrase and its varied repetition overlap. The second phrase
begins with three groups of four measures, the second and third forming
a pair. At this point the progress of the phrase is interrupted by a paren-
thetical passage in G-flat major (♭III), which belongs to the sound world of
the parallel, or modal, minor. The following four-measure group ends on
the dominant. The following transition reveals that this digression in G-flat
major serves a higher purpose than just delaying the goal of the phrase; it
prepares the modulation to ♭vi (C-flat minor, which Schubert has rewritten
as B minor). That is, the G-flat major triad, first introduced in the paren-
thetical passage, becomes the dominant of the new key. Eventually we will
understand that this entire second theme area, initiated in B minor, is itself
a further delay of the establishment of the dominant as the ultimate goal of
harmonic motion in the exposition.
It is a curious fact that there is no single established standard for the nota-
tion of harmonic progression. Rather, there are a variety of standards, which
seem to come down to personal preference. For example, some authors use
uppercase roman numerals to indicate all triads as well as keys, whereas oth-
ers, including me, use uppercase numerals to designate major triads and/or
keys and lowercase numerals to indicate minor ones. My reason for using this
system is simple enough: the quality of the triad or key is immediately appar-
ent without further qualification. There is a difference between indicating the
initial key of the second theme of this movement as ♭vi or ♭VI, for example.
The fact that B minor is characterized as ♭vi rather than ♯v is revealing in
itself. I am indicating how we hear this key in relation to the tonic, not how it
is written. In other words, ♭vi indicates its functional relationship to the tonic.
Wherever possible I try to indicate function. Consider, for instance, the func-
tion of a G-major chord in the context of E-flat major. If it is heard in relation
to a C-minor chord, it functions as V of vi, but if it is employed independent of
vi, then I will label it as III♮. Regarding the former situation, I have adopted a
shorthand system over the years of indicating an applied or secondary domi-
nant by placing V in a bracket.2 That is, [V]–vi indicates V of vi followed by
vi. When the progression is reversed, as in measures 5–6 of this movement,
then I show the progression as indicated in example 1.1. And when I notate a
progression in a key other than the tonic, I normally indicate the relationship
of that key to the tonic. The progression beginning in measure 24 is heard in
relation to a local key of G♭, but it is important also to indicate that G♭ major
is ♭III in relation to the tonic E♭. Finally, I will often indicate the harmony as
operating on more than one level. In example 1.1 the upper line of harmonic
analysis indicates the details of the harmonic progression, though I have omit-
ted an occasional passing chord here and there; the lower line indicates the

Beach.indd 6 4/4/2017 4:31:27 PM

 harmony ❧ 7

underlying progression, which for the first phrase is I (mm. 1–8)–IV–V–I. With
the addition of D♭ to the tonic chord in measure 13, the harmony is directed
to the subdominant, which follows. I have indicated the local progression as
[V24]–IV6, which is perfectly correct, though unnecessary. I believe the remain-
der of the analysis is self-explanatory, though perhaps I should say something
about my notation of measures 44–47. I have indicated the harmony as ♭III (=
V of ♭vi) in measures 44–45, and then following, where Schubert notates G♭
as F♯, I have renotated the same harmony, now with the added seventh, as an
applied/modulating dominant. I believe this is sufficient commentary for now.
We will return to this fascinating movement later.

The Progression I–vi–IV (i–VI–iv)

The descending progression by thirds from tonic to subdominant via the

submediant is very common in the music of the late eighteenth and early
nineteenth centuries. In fact, I suspect one could find literally hundreds of
examples in the music of Haydn, Mozart, and Beethoven. So why are we con-
sidering it here? The reason is that Schubert is fond of employing this progres-
sion not only in immediate contexts but also to control large-scale harmonic
motion across formal boundaries, even across an entire movement. Before pre-
senting a few examples of his use of this progression in larger contexts, I will
examine briefly two shorter examples that I find particularly interesting and
instructive. The first of these is a passage from the second movement of the
“Trout” Quintet, D. 667. An outline of the harmonic and melodic content of
this extended transitional phrase is provided in example 1.2. What is interest-
ing about this passage is not the progression per se, but that Schubert chooses
to extend the dominant of the subdominant for a total of ten measures and
then, once having reached the subdominant in measure 53, to extend it for
eight measures. To understand why Schubert may have done this, it is neces-
sary to digress briefly to describe the compositional issue he must resolve. This
movement is divided into two parts—in short, an exposition and a recapitula-
tion—each containing three themes and keys. In chapter 4 we will consider
Schubert’s different solutions to large-scale tonal organization in sonata form,
one of which is to transpose the tonal scheme from the exposition into the
recapitulation in order to end, rather than begin, the restatement of ideas on
the tonic. This scheme, which is counter to the established classical treatment
of tonal relations in sonata form, is apparent in three of the five movements
of this work. The three thematic ideas of the exposition of this movement are
stated in the keys of F major, F-sharp minor and D major. If Schubert is to repli-
cate this relationship to end on the tonic (F major), he must begin the restate-
ment in A-flat major, a tritone away. His solution is to progress from D major

Beach.indd 7 4/4/2017 4:31:27 PM

 8 ❧ chapter one

Example 1.2. “Trout” Quintet, D. 667 (II), harmonic organization of mm. 36–61
36 40 53 61

N
# 3 ˙™ ˙™ ˙™ ˙™ ˙™
& # 4 ˙™ ˙™
˙™ ˙™
˙™
˙™ ˙™ ˙™ ˙™
n˙™
˙™
˙™
˙™ ˙˙ ™™ bbbb ˙™
˙™

{ 1

? ## 43 ˙˙ ™™
2
˙ ™™
7
3
˙™
˙™
4,
˙ ™™
7
1 2
˙ ™ #˙˙ ™™
˙™
7
#
3
˙™
˙™
4

§7
˙™
˙™
5
˙™
˙™
8 meas. 6/1
˙™
˙
2 34 5 67 8
˙™
bbbb ˙™

Ab: I
D: I O V7 R vi O V7 R IV

to its subdominant (I–[V7]–vi–[V7]–IV), from which point he can then slide

up a half step to A-flat. The reason for the extension of both V7 of IV and IV
itself is to give more weight to this part of the progression and to provide time
for the listener to become acclimated to G. At the very end of the movement,
Schubert repeats this progression beginning from the tonic, this time complet-
ing the motion to closure.3
The second example is the B section and very beginning of the Aʹ section
from the trio of the Impromptu in A-flat Major, D. 935, no. 2. This passage is in
the key of D-flat minor, the parallel or modal minor of D-flat major, the key of
the trio. In this instance, the progression is I–[V7]–♭VI–iv–V–I. Before looking
at the score, it is interesting to consider what ♭VI is in the key of D-flat minor.
It is a B♭♭-major triad, which Schubert has rewritten as A major. As shown
in the harmonic analysis, he progresses to ♭VI via the subdominant, which is
subsequently heard as vi leading to V of ♭VI. As with the first example in this
chapter, we are labeling harmonies as we hear them, not necessarily as they are
notated. It would make little sense to me if this A major harmony were to be
labeled ♯V. It is not an altered dominant; it is a modally inflected submediant.4
Illustrations of three instances where Schubert has employed this progres-
sion to organize large-scale harmonic motion across the boundaries of ternary
form are shown in example 1.4. At (a) is a graph of the middleground struc-
ture of the second movement from the Piano Sonata in B-flat, D. 960.5 The
A section prolongs the tonic, C-sharp minor. The submediant is introduced
at the beginning of the B section and is subsequently prolonged by its own
progression, as indicated by the upper line of the harmonic analysis (in paren-
theses). The subdominant is introduced by means of a deceptive progression
in the secondary key, which then leads to the dominant seventh chord in the
original key and from there back to the tonic at the beginning of the Aʹ sec-
tion. Overall the harmonic organization of this movement up to the return to
A is controlled by the progression i–VI–iv–V7–i. The same situation is found in

Beach.indd 8 4/4/2017 4:31:27 PM

 Example 1.3. Impromptu in A-flat Major, D. 935 (II, trio), mm. 59–80
59
bb > >
& b b b ™™ œ bœ œ bœ œ œ œ œ œ œ œ œ ∫œ œ
nœ nœ œ œ œ œ œ œ œ bœ œ œ œ
œœœœ œ

{
bœ œ œ œ
f 1 > 2 > 3 > >4
? bb b ™™ Œ
bb ˙ bœ̇ ™ ˙ œ ˙ œ ˙
˙™ ˙™ ˙™
6
Db: i 6
V5 7

> œ œ “”
b>œ œ bœ œ œ œ œ œ œ œ œ œ œ œ œ œ œ bœ
63
b b œ œ œ œ bœ n n
& b b b bœ œ œœœ œ œ œ œ bœ œ n n n

{ ? bb b
b b œ̇
™
1
>
˙ bœ̇ ™
6
2
>
˙ œ
˙™
3
>
˙
cresc. 4
œ̇
™
>
˙ nnnnn

i V7 i

<“>
#œ #œ œ œ#œ #œ œ œ œ œ œ # œ œ œ œ œ œ #œ œ œ œ œ œ œ #œ œ œ # œ œ œ œ œ œ
67

& #œ œ #œ œ œ#œ #œ œ œ #œ œ œ

{ ?
#œ
1
>
#˙
˙
nœ
2>
˙
˙
ff
j
œœ ‰
œ
3 fz
>
˙˙
˙
4
j
œœ ‰ ˙˙
œ ˙
fz 1

œ
j
fz

œœ ‰ ˙˙
˙
iv
O vi V R ¼VI

œ œ œ œ œ œ œ#œ œ
72

& œ#œ œ œ œœœœ œœ œ

{
fz fz fz fz
#œ #œ œ œ
p 1
2 3 4
# œ œ #œ
? j ‰ œ #œ #œ œ œ œ œ œ œ
œœ ˙˙ œœ œœ œœ œœÓ œœ œœ
œ >˙ œ œ œ œ œ œ ˙™

iv

76
>
& bbbbb œ
œ œ œ œ œœ œ œ œ

{ 2
? #œ #œ
#˙ ™
œ #œœ œ
œœœ
#œ #œ
Ÿ~~~~~~~~~~~~~~~~~~~~~~
3 decresc.

bbbbb bœ nœ
b˙™
œ œœ œ
œœœ œœ
˙™
œ
4
œ œ œ
œœœ œ œ
1 >
œ œ œœ œ
Œ ˙ œ œ̇ ™ ˙
˙™ >

7
6 5
4 3
V I

Beach.indd 9 4/4/2017 4:31:30 PM

 Example 1.4. Examples of the progression I–vi–IV across formal boundaries in
ternary form
a.) Piano Sonata in B-flat Major, D. 960 (II)
N

j
## œ œ œ œ nœœœ nbœœœ nœœ # nœœ œœ #œœ œj
&## œ̇œ œœ b œ n œ # œ œ ## œœ n œ̇œ

{ ? #### ˙
A B

œ nœ œ nœ œ #œ #œ œ n˙œ
J #œ œ
6
A'

(A: I IV O V5R vi )
C#: i VI iv V7 i

b.) Octet, D. 803 (III)

œ̇ œ œœ œ œ #œ œ œ œœ b œ nnnœ̇œ
& b œ nœœ œ bbœœ bbœœ # œ nnœœ œœ œ

{ ?b ˙
a
œ œ
§
V
b
bœ œ #œ nœ œ œ
a'
˙

5 7
F: I ¼VI iv V I

c.) Piano Trio in B-flat Major, D. 898 (II)

N
j
œ
b ˙ œ œ œœ œ œ nœœ œ œ bœœ nn#œœœ nœœœ
&b b bbœ̇œ œ̇œ œ̇œ

{ ? bb
b˙ œœ œ
A

I
B

vi VI
œœ
4
2
A'

IV
nœ œ b˙
˙
˙

I I V I

Beach.indd 10 4/4/2017 4:31:34 PM

 harmony ❧ 11

the third movement from the Octet, D. 803, for which a middleground graph
is provided at (b). However, in this instance both the submediant and the sub-
dominant are modally inflected (♭VI instead of the diatonic vi and iv instead
of IV). The final example, given at (c), is the second movement from the Piano
Trio in B-flat, D. 898.6 Here the circumstances are somewhat different. As in
the other two examples, the submediant is introduced in the B section, which
in this instance is stated in its diatonic form (vi) and then restated in its major
form, but the subdominant is not introduced until the beginning of the Aʹ sec-
tion. Instead of progressing to the dominant, Schubert initiates a progression
by descending major thirds, which one might expect to continue one more
step, thus completing a cycle prolonging the subdominant. Instead, Schubert
progresses directly to the tonic and from there to closure.
Two instances where this progression occurs across formal boundaries in
Schubert’s sonata forms are illustrated in example 1.5.7 Both are from the
Symphony in B Minor, D. 759, and in both graphs the circled numbers between
the staves designate themes. In the first movement, theme 1 is in B minor (i)
and the second theme is in G major (VI). The development section, based
on the motto theme originally stated at the very beginning of the movement,
prolongs the subdominant, which leads back to the tonic via the dominant.
In the recapitulation, the second theme is stated in the key of the mediant,
the third divider between tonic and dominant. The expression of the I–vi–IV
progression is more complex in the second movement, though it begins like
the first movement with theme 1 in the tonic (E major) and the second theme
in the key of the submediant (C-sharp minor). Schubert then leads us from
D minor through G major to C major (♭VI), which subsequently supports an
augmented sixth chord (+56). Instead of resolving this chord to the expected
dominant, Schubert reintroduces the first theme in the tonic key, which, with
the addition of the seventh, leads us eventually to a statement of theme 2 in
the key of the subdominant. So the return to the tonic in conjunction with
a restatement of the initial theme is not a real return in the structural sense,
but rather functions as V of the subdominant, thus completing the large-
scale motion from tonic through the submediant to the subdominant. The
subdominant is subsequently prolonged, as shown in the example, before
leading to closure.

Modal Mixture

Modal mixture refers to the incorporation of elements from the parallel

mode—the mode with the same tonic—into the tonal fabric of a composition
or a part of a composition. Most typically this involves employing elements
from the parallel minor mode into the melody (♭3 and ♭6, but also ♭2 and
♭7) and/or harmony (♭III and ♭VI, but also ♭II and ♭VII).8 At a deeper level

Beach.indd 11 4/4/2017 4:31:35 PM

 12 ❧ chapter one

Example 1.5. Examples of the progression I–vi–IV across formal boundaries in

sonata form
a.) Symphony in B Minor, D. 759 (I)

N
j
# œœ œ œœ œœ œ œœœ
&# œ œ #œœ nœœœ #œœœ œ
œ

{ ? ##

b:
1
œ

i
2
œ

VI
œ
iv V
œ
1

œ
i
œ
2

III
œ

V7
œ

b.) Symphony in B Minor, D. 759 (II)

## œ œœ œœœ nœœ nœœ nœœœ #œœ nœ n#œœœ nnœœ œ œœ œœ œœ nœ #œ œ

&## œ œ œ #œ œ œ œ œ œ n œ #œ

{
1 2 1 2

? #### œ œ nœ nœ nœ œ nœ #œœ #œœ œ

œ œ œ
+6
5 5 §6 V7 vi 7 6 5
E: I vi IV V I

of structure, mixture is extended to secondary keys, so we speak of modulation

to ♭III or ♭VI, for example. Modal mixture is an integral feature of much music
of the classical period, but in Schubert’s music it become a defining feature of
his style. It is difficult, perhaps close to impossible, to find works by Schubert—
here I am thinking of late works in particular—where mixture is not involved at
some level. In fact, we have already encountered mixture in three of the exam-
ples in this opening chapter. In the opening fifty measures of the E-flat Piano
Trio (ex. 1.1), there is a parenthetical statement in the key of ♭III, which later
becomes the dominant of ♭vi (notated as B minor), the initial key of the sec-
ond theme. This particular modulation is an example of double mixture. Simple
mixture would involve a modulation to ♭VI, but here we have a modulation to
its parallel minor, ♭vi. The excerpt from the Impromptu in A-flat, D. 935, no.
2 (ex. 1.3) is the B section of the trio, which is written in the key of the parallel
minor. Furthermore, this section modulates briefly, though emphatically, to ♭VI,
notated as A major. Finally, the graph of the deep structure of the third move-
ment from the Octet (ex. 1.4b) shows the key of ♭VI as the middle member of a
descending arpeggiation from tonic to the minor subdominant.

Beach.indd 12 4/4/2017 4:31:40 PM

 harmony ❧ 13

Modal mixture at deeper levels of structure—excursions into “foreign”

keys—frequently involves an initial change of mode on the same tonic, e.g., A
major to A minor. Countless examples of this procedure can be found in works
by Haydn, Mozart, and Beethoven, as well as Schubert.9 Of the many possibili-
ties, I have chosen to present just one example here, the closing section from
the first movement of the Piano Trio in B-flat (D. 898); see example 1.6. I bring
your attention to three features of the initial four measures of this passage.
First is the 7–6 suspension in measure 78, which is repeated a third higher
in measure 86, but more significantly establishes a pattern for our hearing of
measure 82, where the voice leading is less clear. Second is my notation of the
progression IV–ii in measure 80. Depending on one’s perspective, these are
two separate harmonies (IV and ii) or one (IV) with the second arising con-
ceptually from a linear motion (5–6) above B♭ (despite the actual change of
bass). My notation places the ii chord in parentheses, acknowledging its exis-
tence but clearly showing it as an extension of the subdominant. Third, I have
marked the melodic D–C in measure 80 with a bracket to indicate its motivic
importance. This gesture is repeated a third higher in measure 84, but more
importantly, it is answered by the marked and modally altered D♭–C, repeated
in measures 91–92. The modal change comes in measure 81, which is the point
of departure for the modulation to A-flat four measures later. The harmony
and voice leading of measures 82–83 are not entirely clear due to the leaps in
the melodic part (piano). I hear the C on the downbeat of measure 82 as a sus-
pension, which is resolved in the accompaniment but not in the melody. The
harmony on the second quarter note is iv6, which I interpret as the pivot (now
ii6) in the ensuing modulation to ♭III. With the addition of the bass note G on
the fourth quarter of measure 82, F, the seventh, also becomes unstable, and
we might expect it to resolve to E♮ or E♭. Instead it ascends through G to A♭,
following the gesture of the equivalent place in measure 79 (violin). Because
harmonic direction is not entirely established until the 24 chord over D♭ on the
second quarter of measure 83, I have not attempted to assign function to the
intervening chord. The remainder of the phrase confirms the modulation to
♭III. Looking ahead, the return to F minor is accomplished in measure 89, fol-
lowed immediately by a push to the dominant via an augmented sixth chord
(+56). After reaching the dominant, Schubert twice repeats with emphasis the
D♭–C dyad, a motive that plays a particularly important role later in this move-
ment when it appears as a decoration of the dominant in the original key: F–
G♭–F. We will explore this further in chapter 3.
One of the clearest examples of modal mixture in Schubert’s late instru-
mental works is the opening movement of his last quartet, the Quartet in G
Major, D. 887. Though I have written about this movement previously,10 it is
worth revisiting for at least two reasons beyond that of mixture. First, this move-
ment provides an excellent vehicle for demonstrating the futility of trying to

Beach.indd 13 4/4/2017 4:31:42 PM

 Example 1.6. Piano Trio in B-flat Major, D. 898 (I), mm. 77–93
78
>˙ œ >˙ œ™ œ n œ œ œ. œ. œ. œ. œ. œ. . . . œ. œ. œ. œ. œ. œ œ œ
° bb 4 j ‰ œ œ œ œ. nœ œ ≈ nœ ≈ œ3 ‰ 3 ‰ ‰
& 4œ J œ œ œ œ œ œ œœ
pp bœ œ œ œ œ œ œœ
>œ™ >œ ™
œ œ œ œ. œ. œ. nœ. œ. œ. .
mf
b4 j œ nœ œ œ™
¢& b 4 œ ‰ Œ Œ œ J J ‰ œ J œ œ œ ≈ œ œ ≈ ? j ‰ bœj ‰ j ‰ œj ‰
œ œ
pp mf
>˙
b œ 3
& b 44 œ œœ œœ ‰ œœ œœ ‰ œœ œœ ‰ œœ œœ ‰œ œ ‰œ œ ‰ ‰ ‰œ œ ‰œ œ ‰ œ œ ‰ œ œ ‰ œ œ ‰ œ œ ‰œ œ ‰ j ‰ œ ˙
œœœœ œœ œœ n œœœ œœœ œœœ œœœ œœ œœ œœ œœ œœ œœ n œœœ œœœ b œœœ œ.

{
J œ œ œ œ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ
pp
j 1 2 3 4 f 1
? bb 4 œ ‰ j ‰ j ‰ j ‰ j j j j j j j j j j j
œ ‰ œ ‰ œ ‰ œ ‰ œ‰ œ‰ œ ‰ œ ‰ œ ‰ œ ‰ œ‰ j ‰
4œ œ œ œ j ‰ Œ Œ bœ
œ7 œ
b œ.
F: I V7 §6
4 I IV 5 6 ( ii ) V 46 5 i 6
§
3

82
° bb j >˙
& ‰ œ œ ‰ œ œ ‰ œ œ ‰ œœ œœ ‰ bœœ œœ ‰ œœ œœ ‰ bœœ œœ ‰ bœœ œœ ‰ œœ œœ ‰ bœœ œœ ‰ œ œ ‰ œ œ bœ ‰ œ
œ œ œ œ bœ œ œ œ bœ œ œ
p decresc. p

j j
? bb j ‰ œj ‰ j ‰ œ ‰ j
œ ‰ bœJ ‰ œ ‰
j
bœ ‰ bœ ‰ œj ‰ œ ‰ j‰ j
bœ ‰ Œ Œ œ
¢ bœ œ J J œ
p
>˙ œ™ œ b œ. œ. œ. b œ. b œ. œ. . . . . .
œ œ. ˙ œ™ œ bœ œ œ œ. œ. b œ. œ. œ. b œ œ œ œ œ œ œ bœ 3 3
b œ ≈ J œ œ‰ œ œ‰ œ œ‰ œ œ
&b œ J ≈

{ 2 p 3 4 b œ œ 1 œ œœ œœ œœ œœ œœ
œ œ œ
b >˙ ™ p
? bb b˙ ™ œ
& ˙ œ ≈ bœ. œ. œ. bœ œ. œ. bœ. œ œ ≈ ≈ ? bœ ‰ œj ‰ œj ‰ œj ‰
b œ
œ. ˙ œ . . œ. bœ. œ œ œ œ J
iv7 6 >
8 7
Ab (bIII): ii 7 6 V4
2
I6 O V7 R iv 4 3 ( ii ) V6 5
4 3
I

. . . . . . . . . . . .
œ œ b œ œ œ œ œ œ. œ. œ. >œ™ œ œ b œ œ œ œ œ œ. œ. œ. n>œ ™ œ œ b œ œ. œ. œ. œ n œ œ œ
86
° bb œ >˙ œ™
& œ
cresc.
bœ™ œ œ œ™ œ bœ ™ œ œ b œ œ. œ. bœ. œ. œ. . . œ b œ. œ. œ. bœ. œ. œ. œ. œ. œ
?b J J ‰ œ J œ bœ œ œ œ . œ. bœ œ
¢ b . .
cresc.

b
& b ‰bbœœœœœœ‰ œœœ œœœ‰ œœœœœœ‰ œœ œœ ‰ bœœ œœ ‰ œœ œœ ‰ œœ œœ ‰ œœ œœ ‰ œœ œœ ‰ œœ œœ ‰ bœœ œœ ‰ œœ œœ ‰ n œ œ ‰ œ œ ‰ œœ‰ œ œ
œ œ œ œ œ œ œ œ b œœ œœ œœ œœ

{
œœ œœ œ œ œœœ œœœ œœœ œœœ b œœ œœ œœ œœ
2 3 4 5 cresc.
? bb œj ‰ bœ ‰ œj ‰ œ ‰ j j j j
œ ‰ œJ ‰ œ ‰ bœj ‰ j ‰ œJ ‰ bœj ‰ œ ‰ j ‰ œ ‰ j ‰ bœj ‰
J J œ œ œ
(Ab): V7 6
4 I V7 I
3 (F): ¼III V7 i

Beach.indd 14 4/4/2017 4:31:44 PM

 harmony ❧ 15

Example 1.6.—(concluded)

bœ bœ œ™
90
° bb nœ œ > >
J J j œœœœœ nœœ j œœœœœ nœœ
& n œ œ œ œ œ œ nœ œ œ œ œ J n œ œ œ œ œ œ nœ œ œ œ œ J
œœœœœœ œœœœœœ
f > œ œ œ œ œ œ >œ œ œ œ œ
œ œ œ œ œ nœ œ œ œ œ œ nœ
œ
?b J J J J
¢ b œ œ nœ bœ œ
j
f >˙ ™ >˙
œ œ. œ.
b œ œ œ œ bœ œ œ œ nœœœ ˙™ ˙
& b ‰ œ œ ‰ œ œ ‰ bœ œ ‰ œ œ Œ Œ œ œ

{ 6j
? bb œ ‰ bœj ‰ nœj ‰ bœj ‰
œ bœ nœ bœ
f

œ
j
1
œ ‰ œ b˙
œ.
b >˙

+6
4
œ 2
œ ‰ œ
J œ.
b˙
b˙
+6
4
œ
œ
J

+6 3 3
5 V

provide chord-to-chord harmonic analysis. Thus you will note a shift in my

approach to harmonic analysis away from detail to underlying progression.
Second, there are some interesting features of the hypermeter. Though we
will tackle this topic in some depth in chapter 2, we might as well deal with
the metric organization of the passage being considered here—the introduc-
tion, first theme, and transition—while considering other aspects of its orga-
nization (see ex. 1.7).
The quartet opens with a modal change from major to minor, signal-
ing what will become an important feature of the movement.11 The opening
phrase is five measures in length, but my designation of the metric group,
shown between the lowest two staves, indicates the fifth measure as existing
beyond the boundary of the hypermeter, as follows: 1 2 3 4 -; it is a distant echo,
separated from the preceding by its dynamic articulation. This phrase is then
repeated a fifth higher, and because there is no change of key, I have indicated
that the phrase is heard in relation to the dominant. The remainder of this
brief introduction twice articulates the dyad E♭–D over dominant harmony.
The purpose of the brackets over this repeated idea is to highlight the modal
inflection of scale degree 6: E♭ twice, then E♮ in measure 16. The repetition
of this two-measure idea establishes in our ear a dual grouping of measures,
which continues in the following measures.
The first theme area begins in measure 15 and ends with a perfect authentic
cadence in measure 49. It consists of three overlapping phrases, marked 1a; 1b
(variation 1); and 1c (variation 2), which is extended. If we examine the bass

Beach.indd 15 4/4/2017 4:31:50 PM

 Example 1.7. Quartet in G Major, D. 887 (I), mm. 1–63

Introduction

œ œ. nœœ
Allegro molto moderato
° #3 ˙ ™ œ œ. ™™ bœœ ‰ ™ œ. ™ #œ. œ. ™ . Œ ‰™ bœ œ Œ ˙™ ˙ œ. ™#œ. œ. ™ œ.
Violino I & 4
˙
œœ œ ‰ ™ œ. #œ Œ ‰ ™ nœR œ Œ
œ œ. R œ
œ
p f ff p p f ff p
# ˙™ ˙ œnœ. œœ ™ . nœ. ™ œ.
Violino II & 43 ˙ ™ ˙ œbœ. ™™ œœ ‰ ™ bœ. ™ œ Œ ‰™ œr œ Œ nœ ‰ œ . #œ. œ Œ
œ™ ‰ ™ œR#œ Œ
b œ œ. . œ™
. # œ. œ
p f ff p p f ff . p
. ˙™ ˙ œ œ. œ œ. œ. ™n œ œ. ™
˙™ ˙ œ œ. ™b œœ ™ œ. œ. ™ œ œ. ™ #œ œ
Viola B # 43 ™œ ‰ ™ œ
œ. œ Œ ‰ #œR Œ
nœ ‰ ™
œ œ. œ Œ ‰™ R Œ
œ
p f ff p p f ff p
1 2 3 n œ. ™ . 4
. bœ. ™ 4 1 2 3 . bœ œ
? #3 ∑
4 Œ Œ ‰ œJ ™™ Œ ‰ ™ bœr bœ. œ Œ ∑ ∑ Œ Œ ‰ œ. Œ ‰ ™ nœR Œ ∑
Violoncello
¢ œ . J œ
f ff +6 ff +6
I i V I i V
h ú g
V

Theme
1a
11
U™ . .
° # b˙ ™
& ˙™ b˙ ™ ˙ Œ ‰ ™ œ nœ. ™nœ ˙ œJ ‰ . œ. ˙ œ ‰
Œ ‰ ™ œ. œ™ Œ ‰ ™ bœ. œ™ œ n˙ œ œ œ œ œ™ œJ œ œ œ
J . œ.
pp pp
# U æ ææ ææ ææ æ æ æ æ ææ æ æ
& n˙ ™ ˙™ ˙™ ˙™ ˙™
ææ ˙™ ˙™ ˙™ ˙™ œæ ˙æ ˙æ œæ œæ ˙æ ˙æ œæ
pp pp
œ. . U æ æ
B # ‰ ™ R #œ Œ ∑ ‰ ™ œr #œ Œ ∑ ˙æ™ ˙æ™ n˙æ™ ˙æ™
æ
b˙æ™
æ
nœæ æ˙
æ
˙æ™
æ
œæ æ˙
æ
˙æ™
. . ˙™ ˙™ n˙ ™ ˙™ æ æ
p pp
1 2. . 1 2 1 2 1 2 1 2 3 (2 3)
?# œ
∑ ‰ ™ R #œ Œ ∑ ‰ ™ œr æ æ æ æ æ
¢ ˙. ˙æ™
. #u ˙™æ n˙æ™ ˙æ™ b ˙æ™
ææ ææ ææ
œ ˙ ˙™
æ ææ
œ˙
æ
˙™æ
p pp
!7 6 ‘
5 I V
V

1b (var. 1)
24
° # ˙™ œ œœœœ œœœœ œ œ ˙™ œ œœœœnœ œœœ œ œ b˙ ™ nœ œœœœœœœœ œ æœ
& ææ ææ ææ ææ æ ææ æ ææ
ææ ææ æ
# æ æ æ æ æ æ æ
& æ˙ ™ b˙ œ ˙™ b˙æ œæ ˙æ™ œæ ˙æ
æ
œ œœœœœœ ˙ œ œœœœ œœœœ œ n˙ ™ œ nœ œœœœœœœæœ æœ
B# œ æ æ ææ ææ
nœ œœœœ œœœœ œ
ææ ææ
b˙ ™
ææ
ææ ææ
4/1 2 1 2 j 1 2
?# Œ ‰ ™ œ œ ™#œ #˙ œ‰ Œ ‰™ œ œ ˙ œ ‰ Œ ‰™ œ
¢ j
J nœ ™ b œ ™ nœ œ n œ ™ œ
I

Beach.indd 16 4/4/2017 4:31:53 PM

 Example 1.7.—(concluded)

1c (var. 2) .
30
° # ææ œ ææ œœœœ ææ œ ææ œ Œ Œ ˙ œ œœ. œ œ œ. ™ œ. nœ. ™
& œ æ œ æœ æœ œœœœ œæ œ œ ∑ ˙˙ ™™ œ ‰™ œ œ™ .
œ nœ.
Œ ˙™
æ æ œ 1 2 3 4 1
ff
# æ æ æ æ æ æ ˙ œ œ. œ Œ Œ ˙˙ œœ Œ Œ ˙ œ œ.
& ˙æ œæ œ ˙ ˙æ œæ ˙™ œ. nœ̇ ™
˙™ ˙˙ ™™
ff

œ œ. œ. œ. œ™ .
˙ . ˙ œ œ. œœ œ. œ. ™
B # æœ œæ æœ æœ æœ œœœœ œœœœ æœ œææ æœ ˙™ ‰ ™ #œ. œ. Œ Œ ˙™ ‰™ œ.
æ æ æ æ æ æ ff
˙ 2 œ œ. œ. 3 n˙ .
2 œ œ œ. 3
3 (2 3) ˙™ 4/1 œ. . 4 1 .
?# j Œ ‰ ™ R œ ™#œ. œ. Œ n˙ ™ Œ ‰ ™ œR
¢ ˙™ œ nœ œ ™ œ ˙™ ff
V I

.. >œ ™ œ. b œ. œ. >.
>œ ™ > . > .
œœœ. œ b™ œ œ™ j bœ. ™ b œ Œ jœ j . œ j #œ j œ
40
° #˙ œœ. bœ. ™™ j bœœ. ™™
& bœ ‰ œ œ. bœ Œ œœ œ. œ Œ œœ œ
œ. œ ™ œœ œ
œ. œœ #œœ œ. œœœ.
.
2 3 4 1 2 3 4 1 2 cresc.
>œ ™ œ. > >œ ™ œ. > >œ œ. >œ œ.
# ˙˙ œœ œ™ j œ™ j jœ j .œ j œ j œ
& .œ bœ̇ Œ Œ b˙ œ
n œ œ. œ
‰™ R œ
œ œ. œ
‰™ R œ
œ œ. œ œ œ. œ.
b ™ b œ. œ
n œ. #>œ b œœ ™™ j œ#>œ
.
b œ ™™ > >
cresc.

B # œ. Œ Œ ˙™ ˙ œ Œ Œ bœœ œ œœj œ œ j œ j
œ. nœ ™ bœœ œœ. œœ ™™ . œœ œj j
œ. œ. . œ œ.
cresc.
4 1 b˙ œ >œ™ >œ™ . n>œ
? # œ™ b˙ ™ bœ #œ ‰™ r œ. #œ ‰ ™ r œ. j #œ j # œ j j
¢ . œ. œ. Œ œ
J
œ
J #œ œ œ. #œ. nœ œ.
n œ. # œ œ. # œ
6 > > cresc.
5

. . œ. >œ. œ œ. œ. ™ . >œ. œ . . >

œ. œ. . œ œ œ ™ œ. œ. œ œ. œ. ™ œ. Transition œ .œ
œ. œ . œ ˙ œ œ. œ. ™ œ. œœ nœœ. œœ. ™™ œ Œ œœ nœœ.
49
° # œ. œ. œ
.œ œ. œ J J J ˙ œ bœ œ™ Œ #˙˙ #˙˙
&
ff fz fz p cresc.
3 4 1 >œ. œ . 2. >. 3 4/1
œ . œ œ ™ œ. œ œ œ. œ. ™ œ.
# œœ. œœ. œœ. œœ. œœ. œœ. >œœ. œ œ œ. ™ œ. ˙ œ œ. œ œ. œ #œ. œ
& œ. œ. .
œ. œ œ œ J
. . J J ‰™ R ˙ œ œ. #œ ‰™ R ˙ œ œ.
ff fz fz p cresc.
. . ™ . >. œ. œ. ™ .
# œ. . b œœ. . œœ. b œœ. œœ. œœ. j œœ n œœ. œœ™™ œœ. >œ. œ œœ. œœ™
œœ
œœ œ œ œ œ™ œœ œ
œœ
˙˙ œœ nœœ. œœ ™™ œ. > #˙˙ œœ nœœ. œœ™™ œ. >
#œ Œ
B . bœ œ bœ. œ. œ. nœ. J J œŒŒ #œ Œ
œ >
ff fz fz p cresc.
œ. œ ˙ œ œ. œ ˙ œ œ. œ
?# œ œ . œ œ
. œ. . œ . œ. œ . œ. œ. œ œ œ œ
j . . ™. j . . . j . . .
œ œ œ œ ™ œ œ. œ œ œ ™ œ œ Œ Œ ‰ ™ #œ. r œ ‰ ™ #œ. œ
¢ >. > R>
. . œ. ff> fz
>
fz p cresc.
V V V
I6 I6 I6 I

. œ™ œ
59
. œ . ™ #œ #œ #œ
° # #œœ ™™ ™
‰ #œœ #œœ ™ #œ œ #œ œ ™ #œ œ ™ œ œJ ‰
& #œ œ #œœ #œ Œ Œ
# œ œ™ J
#
f
œ. # œ ™ j
cresc.
#œ
ff

& #œ Œ ‰ #œ. #œ Œ ‰ œ. #œ ™ œ™ #œ œ œ #œ ™ œ œ™ œ #œ ‰ #œœ Œ

J J #œ
. f ff
#œ# œ .
cresc.
#˙ œ . #œ
B ## ˙ œ œ #œ ™ œ œ™ œ #œ Œ ‰ œ #œ ™ œ œ ™ œ œ ™ œ #œ ‰ # œœ Œ
J J
. # . f.
œ cresc. ff
?# ˙ œ #œ œ ™ #œ œ ™ #œ #œ œ Œ ‰ #œj #œ œ ™ #œ œ ™ œ œ ‰ Œ
¢ œ™ J œ
f cresc. ff

Beach.indd 17 4/4/2017 4:31:59 PM

 18 ❧ chapter one

line of 1a, we note that it involves a chromatic descent from tonic to domi-
nant, with the E♭ extended down to C before settling on D, as indicated by
my analysis in example 1.7. This gesture is then repeated. Closer examina-
tion of the phrase reveals the repetition of the initial two-measure grouping
a step lower; at this level—every two measures—the bass progresses down by
step, G–F–E♭–D (boxed in our example), the descending tetrachord from the
minor mode. I have indicated the hypermeter of this phrase as 1 2, 1 2, 1 2 3
(2 3) 4/1. Harmonically the descending tetrachord corresponds to a motion
from I to V; I have not attempted to assign harmonic function to the inter-
vening chords. The phrase beginning in measure 24 (1b) is a variation of the
preceding phrase, the main change being the transfer of the melodic/motivic
material to the cello part. The second variation (1c), which involves imitation
between upper and lower pairs of instruments,12 progresses initially from G
to F to E♭ every four measures, rather than every two. This time the E♭ does
not continue to D, but to C♯ supporting a 56 chord. The Ds—which decorate
the C♯, rather than the opposite—support a neighboring 46 chord. Eventually
the bass line progresses through C♮ (mm. 49–50) to B supporting a I6 chord
in measure 51 (ff). This unexpected point of arrival is restated twice before the
arrival on a root position tonic chord in measure 54, completing the octave
descent (missing only the A, which is replaced by D, the root of the dominant)
begun in measure 33 and bringing the first tonal area to closure. As we shall
see, this striking close, the repeated B–D–G supporting the progression I6–V–I,
establishes a pattern that is repeated in varied form in theme 2, which pro-
gresses III♯–V–I in the key of the dominant. The transition, which begins in
measure 54, progresses by ascending fifths to end on an F♯ major triad, each
step in the progression involving a modal change from major to minor. The
initial statement of the second theme (not shown in ex. 1.7) begins from this
F♯-major chord and progresses to D, arriving in measure 77. Looking at the
major points of articulation along the path from tonic to this dominant in mea-
sure 77, we have G (mm. 1–54) progressing to F♯ (m. 63) and eventually to D
(m. 77) through a passing E. In other words, the deep structure of measures
1–77 is controlled by a descending tetrachord from the major mode, embed-
ded in which are statements of the descending tetrachord from the minor
mode. Here we have modal mixture at multiple levels, from surface articula-
tions to deep middleground. In my opinion, this movement is one of the most
interesting and original among the late instrumental works.

III♯

The major triad on scale degree 3 in the major mode (III♯) appears con-
spicuously in several late works by Schubert, sometimes sounding in direct

Beach.indd 18 4/4/2017 4:32:03 PM

 harmony ❧ 19

juxtaposition with the tonic triad and other times progressing to the domi-
nant. I want to begin our investigation of Schubert’s use of this harmony by
examining the initial statement of the second theme from the first movement
of the G-Major Quartet, the continuation of the passage just discussed. You
might recall that the transition phrase progresses by ascending fifths from the
tonic, G major, to a cadence on F♯, which then becomes the point of depar-
ture for the second theme, shown in example 1.8. It is my contention that this
second theme completes the descending tetrachord from the major mode:
G–F♯–E–D. Let’s look at this passage in some detail. The bass note F♯ (m.
64) progresses to E supporting a dominant in 34 position, which is subsequently
prolonged locally, as shown by my slur in the harmonic analysis that connects
the 34 chord to the root-position dominant on the downbeat of measure 66. The
function of the intervening tonic chord is to provide support for the melodic
passing tone F♯ between the seventh and fifth of the dominant. Schubert then
returns to the bass note E, this time supporting an E-minor chord (ii), which
is prolonged locally by its dominant. The E-minor chord then returns to III♯,
thwarting the natural tendency of E to continue the descent to D. The effect
is one of stasis. The expanded repetition of this four-measure group begins as
before, but then progresses to G (IV) in measure 72, from which point the bass
progresses G (IV)–F♯ (III♯)–E (V34)–D (I). This is a wonderful touch. Not only
is the tension finally released, but—more important—Schubert has provided
us with a reminder (a diminution) of the long-range descending tetrachord
initiated in measure 54, as well as of the harmonic progression it supports.
The only change is that the G-major chord, the tonic, is now heard as IV in
the key of the dominant. I interpret the underlying progression of theme 2 as
III♯–V34–I. Note also that once the bass note D is reached in measure 75, the
top voice mimics the previous motion of the bass: F♯5 progresses to E5, but
instead of continuing to D5, it returns to F♯5 before finally making its descent.
Another elegant touch.
III♯ has the potential to function as V of vi. There is an interesting passage
in the second movement of the Symphony in B Minor where it sounds as if
Schubert may be moving toward the key of C-sharp minor (vi), but instead he
pulls back to the tonic (E major). Eventually he will get to C-sharp minor, but
not yet. A reduction of this passage (mm. 33–45) is provided in example 1.9. As
in the preceding example, the second chord is passing, that is, it provides sup-
port for the passing tone between the fifth and seventh of the dominant (top
part); in this case I have not indicated this passing tonic chord in parentheses.
The third four-measure group alters the sequential pattern, which is the rea-
son I have notated it differently. This group ends on III♯, which is heard as V
of vi (or at least has the potential to act in that capacity). Schubert has given
us a brief taste (a sound taste) of where we will be going, but we must wait a bit
longer before we get there.

Beach.indd 19 4/4/2017 4:32:03 PM

 Example 1.8. Quartet in G Major, D. 887 (I), mm. 64–77
64
° # Œ Œ j j j j j
& œ nœ. œ œ. œ. ™ œ. œ. œ œ. œ. ™ œ. œ œ œ œ™ œ œ œ œ œ œ œ œ. œ œr œ œ >œ ™ œ œj œ œ œ ™ œ
> > > . .
pp
# j j
& Œ Œ # œ œj # œ œ œ™ œ # œj œ œ œ ™ œ œ œ œ >œ ™#œ œ œ # œj œ œ œj # œ œ >œ ™ œ # œj œ œ œ ™ œ
. . >. . .
pp
. >. . . .

B # Œ Œ #œ nœj œ œ œ ™ œ j j j j j
. . >. . nœ. œ œ. nœ. ™ œ. nœ œ œ >œ™ œ œ œ œ#œ œ œ nœ. œ œ >œ ™ œ œ. œ œ nœ ™ œ
pp
>
1 > . nœ. 2œ 3 >œ™ 4 1 œ 2œ
¢
? # Œ Œ œ nœ. œ œ. œ. ™ œ
J J œ. œ™ œ. œJ œ œ œ œJ œ œ œ œ œ œJ. œ œ >œ ™ œ J œ œ™ œ
pp >.
D (V): 4
IIIx V3 /I 0 V , ii O V7 R ii IIIx V4
3 /I 0 V ,
IIIx V4 V , ii IIIx V4 ,
3 3

71 > >
° # j . . œ. #œ. œ œ. œ. ". #œ. œ œ. œ . œ ™™
& œ œ œ >œ ™ œ œJ œ œ œ #œ œ #œ œ. œ. œ. œ. #œ nœ œ. œ œ. nœ
r
J œ œ
r
J œ
decresc. cresc. pp

# j j j
& œj œ œ >œ ™ œ œ œ œ œ œ œ œ. œ. #œ. œ. œ nœ œ œ. œ. œ. œ #nœœ. œœ œœ. œ. œ œ. œ #nœœ. œœ œœ. œ. œ œ. œ œœ ™™
. > > > >
decresc. cresc. pp

j . >. . j . >. .
B # œj œ œ >œ ™ œ œj œ œ. œ. œ. #œ œ. œ. œ. œ. #œ nœ. œ. œ. œ. nnœœ. œœ œ #œ œ nnœœ. œœ œ #œ œ œœ ™™
decresc.
> cresc. > pp

3 4 5 6 . . . 7 . . 8 . . 1
? # œ œ bœ >œ ™ œ œJ œ œ. œ. œ. œ œ. œ. #œ. œ. œ nœ œ. œ œ œ >œ. œ œ. œ œ >œ. œ œ. œ œ œ™
¢ J J J
decresc. cresc. pp

ii O V 7R IV IIIx V4
3
7 I V I V I
ii IV IIIx V4
3 I

Example 1.9. Symphony in B Minor, D. 759 (I), mm. 33–45

33
# ## 3 œ ™™ œœ™™ œœ >œœ™™ œœ œœ™™ #œ ™ œ™ œ >œ ™™ œ œ ™ #œ ™ œ # œ œ >œ ™™ œ # œ ™ nœ
œ™ œ œ œ œ™ œ™ œ œ œ œ œ œ™
& # 8œ œ™
J nœ
J

{ f 1

E: V
Æ œÆ Æ

5
2

7
3

' œ' '

I
4

OV 5
1 2
? #### 38 œ œ œÆ œÆ œÆ œ œ œÆ œÆ œÆ œÆ œÆ œÆ œ œ
3

' ' œ' #œ' œ œ' œ

7
'
R V
Æ
4

V
1

i
2
œÆ nœÆ œÆ œÆ œÆ Æ Æ œÆ
œ œ œ
3
œ
' #œ' '
V
4

I
J
1
œÆ œÆ œÆ œœj

h ú g
vi

Beach.indd 20 4/4/2017 4:32:04 PM

 harmony ❧ 21

III♯ also plays an important role in the first movement of the Piano Trio
in B-flat. In the extended phrase following the initial statement of theme 1,
the harmony progresses to III♯ in measure 18, and because of the approach
to this harmony via an augmented sixth chord, it has the potential to func-
tion as V of vi. Schubert makes this harmony a goal, and he then extends
it for six measures before introducing V7 and bringing us back to the tonic
for a second statement of the main theme. A harmonic reduction of this
phrase (mm. 12–26) is given in example 1.10a. At (b) is a reduction of
the approach to theme 2 (mm. 41–59). This passage, heard in the key of
the dominant, is sequential, leading eventually from I to III♯, which is
introduced as V of vi. As before, Schubert extends this harmony for several
measures (in this case, eight). This time there is no connecting dominant;
instead the root of this chord (A) is sustained, then reinterpreted as the
third of F major.
In the introductory section of the first movement of the C-Major Quintet,
Schubert cadences briefly on a B-major chord.13 Here this “chord” progresses
directly to V7, but it also subtly introduces a sound that later in the move-
ment will function as III♯ in the key of the dominant. Two such instances are
shown in example 1.11. At (a) is a simplified version of measures 100–12, the
initial statement of the third theme in the key of the dominant. Here we have
the direct juxtaposition of I and III♯ in G major. At (b) is the closing idea
(mm. 138–42) in the exposition, in which III♯ is recalled, here functioning
as a coloration of the local tonic within a phrase that elaborates a standard
I–IV–V–I progression. In example 1.12, I have provided a simplification of
the initial statement of the often-quoted second theme from the exposition,
which is written in the key of E-flat major (♭III). This phrase progresses to
the major triad on scale degree 3 (here notated as III♮ rather than III♯),
replacing the dominant, while at the same time recalling the dominant in the
home key of C major. In the recapitulation this theme is stated in A-flat major
(♭VI), and this time, the progression to III♮ presages the long-anticipated
return to the tonic.

♭VII–V

Schubert uses ♭VII sparingly in his late instrumental works, but when he does,
it is strongly emphasized. A clear example of this can be found in the first move-
ment of the Piano Trio in B-flat, where the progression ♭VII–V (mm. 9–10), is
introduced early—a harbinger of things to come. We also encounter the key of
A-flat later in the exposition, as III within a passage (mm. 81–91) controlled by
the minor dominant (see ex. 1.6 in the section on modal mixture). However,

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Beach.indd 22
Example 1.10. Piano Trio in B-flat Major, D. 898 (I)

a.) Harmonic reduction of mm. 12 -26

12 18 26
b w
w w
w w w ™
&b w w w
w w
w ˙w ˙™ #œ #w
w w w w
w
w nœ w w w w w
1 2 3 4 5 6 1 2 3 4 5 6 7 8 1

? bb nw w w
w w w w w w
w
{ Bb: I V vi iii IV 5 T 6 H III# V7 I

b.) Harmonic reduction of mm. 41 -59

Theme 2
41 w 49 Vc. 59
b w b ˙ ™ n œ nw
˙™ œ w b ˙™ #œœ ww
b ˙™ # œ #w
˙ ™ nœ w
w n˙ ™ n#œœ #nw
&b ˙™ œ nw ˙™ œ w w w w ˙ œ
#n w
w œ
1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 ( ) 1
? bb
w w w w w w w w
{ w w w
i V i V i V i V
h ú g h ú g h ú g h ú g
F(V): I i v ii vi
#

4/4/2017 4:32:10 PM
Beach.indd 23
Example 1.11. Quintet in C Major, D. 956 (I)

a.) reduction of mm. 100 - 112

100 #œ œ
œ ˙™ œ œ œ œ œ œ œ ˙™ œ #œ #œ #œ ˙
˙™ #œ œ œ œ #œ œ œ #œ ˙ œ œ #˙
&
I IV V I ii V I O V 46 R III#
? Œ Œ œ Œ Œ œ œ
œ Œ œ œ œ #œ Œ
sim. sim.
6 6 G 6
{ 5 # 4
G (V): I III#

108 #œ œ
˙ œ œ ˙ #œ nœ œ œ œ œ œ œ ˙
#œ œ œ #œ
&

? œ Œ œ Œ
œ
G 6 G Y
{ # 4 # § 7
I6 IV V I

b.) mm. 138 - 42

138
j ‰
& œ ˙˙ œœ ##œœ ##˙˙ nn˙˙ œ̇
J œœ # œœ œœ œ œœ œœ œœ
? œj ˙ œ œ œ #œ œ ˙ ˙ œ
‰ ˙ œ œ œ œ œ ˙ œ̇ œ œœ #œœ
œ ˙ œ
J
{ 6
G (V): I III# O V7 R IV 6 6
V4 5 I
3

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 24 ❧ chapter one

Example 1.12. Quintet in C Major, D. 956 (I), mm. 81–87

˙™ nœœ œœ b œœ nœœ œœ œœ bœœ œœ b˙™

81
b˙™ ˙ œ œ bœ œ œ bœ œœ ˙ ˙ œ œ w ˙™
& œ bœœ nœœ œœ œ™ J ˙ ™ w b˙ ™

{ ? bw
bw
w
bw
bw
bw
b
b ẇ
5
˙
6
(c: iv
w
w
§
V)
w
w
bw
bw

Eb (bIII): I IV III§ , I

♭VII does not play a major role until its appearance in the development sec-
tion, which is divided into two large parts. The first part (mm. 112–38), which
is based on the opening theme, progresses from the minor tonic through ♭III
and IV to V, ending on the dominant of V. The second part, based on theme
2, begins in A-flat (♭VII) and progresses by descending major thirds to V of
V, arriving at the dominant in measure 161, which is subsequently prolonged
until the false recapitulation in G-flat (♭VI). The development section is too
long to reproduce here, so I have represented its underlying organization by
means of a bass line with annotations. As shown at (a) in example 1.13, the
overall progression of the development is i (prolonged by the contents of part
1) to ♭VII (prolonged by the progression of descending thirds to V of V) to
V.14 Schubert makes a special effort to impress on our ears the importance
of A♭ in this movement in the coda, where he lands on ♭VII and repeats it
over a span of eight measures—ff for four measures, then fff for two and then
suddenly pp for two—in preparation for the return to I via V. It is interesting
that the large-scale harmonic motion that occurs in the development section
of the first movement, i–♭VII–V, also occurs in the third movement. As shown
in example 1.13b, the first part of the Scherzo prolongs the tonic by a motion
to its dominant; the B section—after the repeat—begins in A-flat (♭VII) and
progresses to the dominant.
An analogous situation can be heard in the second movement of the Octet
in F. This movement, also in B-flat, is divided into two large parts, each con-
taining three ideas. A bass-line representation of the second part (the restate-
ment or recapitulation) with annotations is provided in example 1.14. The
circled numbers represent thematic ideas; those in italics are measure num-
bers. Theme 1 is stated twice, first on the tonic and then on the subdominant,
before the introduction, beginning in measure 104, of “new” material in A-flat
minor (♭vii), from which point the movement progresses by a series of ascend-
ing minor thirds to the dominant in measure 123. The overall progression is
I–♭vii–V–I, where the connection between I and ♭vii is accomplished via an

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 Example 1.13. Piano Trio in B-flat Major, D. 898, harmonic reductions
a.) First Movement, Development, 112 -61

Part 1 Part 2
139 147 155 161
112 120 126 132
?b œ nœ œ œ bœ nœ nœ œ
b œ bœ bœ nœ bœ œ
œ
!7 6 6
! B 5 §
¼III IV V
Bb: i ¼VII V

b.) Scherzo
A B A'
1 16 17 41 54
? bb œ ™™ ™™
˙ bœ œ bœ ˙ ˙
V 6 +6
Bb: I ¼VII V8 7 I

Example 1.14. Octet in F Major, D. 803 (II), harmonic reduction of restatement

1 1 “new” 2 3

78 91 104 108 112 123 131

? bb ˙ œ œ œ
bœ nœ ˙ b˙
! G
Bb: I IV ¼vii V I

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 26 ❧ chapter one

intervening statement of theme 1 on the subdominant and that between ♭vii

and V by the sequential progression in ascending minor thirds.

Chains of Descending Major Thirds

One term that brings Schubert’s name to mind immediately is third-chain (or
chain of thirds), by which we mean the succession of two or more thirds of the
same size. We have already encountered two examples of this. First, we have
seen how ♭VII is prolonged by a progression of two descending major thirds
leading to V of V in the second part of the development section from the
first movement of the Piano Trio in B-flat (refer back to ex. 1.13a). Second,
the connection between ♭vii and V in the second movement of the Octet is
accomplished by a chain of ascending minor thirds (refer to ex. 1.14). In
both instances—and, in fact, in all such cases—what are most significant are
the beginning and ending points, as is the situation with all types of sequen-
tial motion. Where does it begin and where does it end? Here we will focus
on chains of descending major thirds,15 the most common perhaps being the
chain of three major thirds forming an octave, thus prolonging the point of
origin. Individual steps in the chain are normally tonal; that is, they involve
chords and progressions consistent with tonality, but the overall progression
falls outside the boundary of major/minor tonality. No matter the tonal coher-
ence of the individual steps in the chain, a progression in major thirds—for
example, C major–A-flat major–E major–C major—is not tonal. It does not
exist within the major/minor system. This raises an interesting question. What
is it about this progression that engages Schubert? Here I will step out on a
limb. I think he may have found this a useful vehicle for the same reason he
has a tendency to repeat ideas more than some would like. It provides another
opportunity to expand his sound world. The repetition of an idea at a different
pitch level or in a different key is not exactly the same, even if the sequence is
exact. It has a new sound, a new color.
Let’s return to the first movement of the G-Major Quartet. The second
theme, the initial statement of which we examined in some detail, is stated
four times, each time varied in some respect. You may recall that I have inter-
preted the underlying progression of this idea as III♯–V34–I in the key of the
dominant (D). An unusual feature of this theme is that it is end-accented: that
is, it does not begin after the new key has been established or introduced by
its dominant; rather it establishes the new key. The second statement follows
immediately after the first with the “theme” now stated by violin 2 with an
added obbligato part above. This statement is marked 2 (var. 1) in example

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 harmony ❧ 27

1.15a, a bass-line representation of the overall tonal motion of the second

theme area. This second statement is followed by a transition passage that pro-
longs D. The third statement, with the theme stated by the cello, is a third
lower. Now D is treated as III♯ in B-flat, to which it leads via its dominant. The
following transition continues the descent by another major third, returning to
an F♯ chord. The final statement (var. 3) then repeats the progression at the
original pitch level, ending on D. A somewhat curious feature of this tonal plan
is that there is not a direct correspondence between the four statements and
the steps in the chain of major thirds. Instead, the first two statements are at
the same pitch level, necessitating that one link in the descending third chain
be accomplished by a transitional passage. Otherwise Schubert would have to
state the theme a fifth time in order to get back to D. You will note that I have
indicated by a large slur in example 1.15a the prolongation of D (V) by this
chain of descending major thirds. Why, some may ask, have I not indicated a
prolongation of III♯ from measure 64 to 141 followed by a descent to D? The
answer is that the theme is end-accented, meaning that the goal, not the point
of departure, is being prolonged.
Chains of major thirds that span a tenth occur throughout this movement.
For example, the connection between the exposition and the development
is a descending major third, D (m. 168) to B♭ (m. 170). This motion is con-
tinued through F♯ to D back to B♭ (m. 176), which is then treated as V of
E-flat. Following a statement of what I have marked as theme 1a, E♭ pro-
gresses through a chain of major thirds spanning a tenth to B♮, which is
then treated as the dominant of E minor. Later, in the coda, the chain of
major thirds spans a tenth from G (I) in measure 416 to E♭ (♭VI) in mea-
sure 424, which is extended for four measures and subsequently transformed
into an augmented sixth chord leading to the cadential six-four (see ex.
1.15b). This example illustrates an interesting and unusual feature of this
movement. Each step in the descending tenth is decorated by its chromatic
lower neighbor, so at this level, it is fair to say that Schubert is dealing with
the total chromatic. However, at the next level of organization, the bass pro-
gresses in whole tones; and at yet one further stage, it progresses by major
thirds, which are articulated by the accompanying chords. At these last two
stages, we are no longer in the realm of major/minor tonality. This is the
world of the whole-tone scale. Schubert, of course, pulls us back into the
world of tonality. Overall this is a tonal phrase, but I find it fascinating that in
1826 Schubert would toy briefly with a tonal world that is outside his normal
sphere of operation.
The presence of a chain of descending major thirds in the exposition of the
first movement from the Piano Trio in E-flat is not immediately apparent, due

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Beach.indd 28
Example 1.15. Quartet in G Major, D. 887 (I)

a.) Bass line representation of the tonal organization of the second theme area

64 77 90 109 122 141 154

1 2 (var. 1) 3 (var. 2) 4 (var. 3)
trans. trans.
?# œ œ œ œ œ œ œ œ œ bœ œ œ nœ bœ
#œ nœ œ œ
# 4 # 4 4
3 3 3
V

b.) Representation of the tonal organization of mm. 416 -30

Coda nœ
416 bœ œœ
# œ bbœœ
œ œ b œ b# œœœ n œœœ œ œ
& œ bbœœœ
n##œœœ nnœœœ bbœœ bœ œ
œ œ
1 2 3 4 1 2 3 4 1 2 3 4 5 6 1
sim.
? # œ œ œ nœ bœ bœ nœ œ nœ nœ bœ œ œ œ œ
{ œ œ
+6 6 5
5 4 #

4/4/2017 4:32:32 PM
 harmony ❧ 29

to the clear articulation of three themes and associated keys. What we have
here is a classic case of the nonalignment of formal design and underlying
structure. You may recall from our earlier discussion of the opening fifty mea-
sures of this movement (refer to ex. 1.1) that there is an enharmonic modula-
tion from E-flat major (I) to B minor (♭vi) for the initial statement of theme
2 beginning in measure 50. The first statement of theme 2 modulates from
B minor to G major, a major third below. After a modal change to G minor,
the second statement modulates from G minor to E-flat major, another major
third in this chain. This is the end of the chain, which coincides with a change
of surface design. Where is the origin of this progression? As shown at (a)
in example 1.16, I believe the chain begins from E♭, meaning that theme 2
enters in media res, that is, after the first step has been taken in a series of three
descending thirds. This chain prolongs E♭, the tonic, as indicated by the large
slur in example 1.16a. (This progression is stated directly in the coda, as shown
in ex. 1.16b.) I want to make it perfectly clear that this view of the underly-
ing structure does not deny the clear articulation of three themes and their

Example 1.16. Piano Trio in E-flat Major, D. 929 (I)

a.) Tonal and fomal organization of measures 1 -84

Th. 1 Th. 2
1 1
1 50 59 67 77 84

b: i VI g: i VI
? bb œ #œ nœ œ
b ˙ œ œ bœ œ œ nœ
7 7 7
œ œ œ œ œ ˙
7
# #
I ¼vi III / iii I vi
Bb: ii vi V7 I
I V

b.) Tonal organization of the coda

588
i ¼VI i VI i VI
? bb œ bœ œ
b bœ nœ œ œ bœ œ
!7 7 7
! G # § !
i ¼VI / vi III / iii I

i I

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 30 ❧ chapter one

associated keys. What I want to demonstrate through this example is the simul-
taneous coexistence of two dynamic processes—on the one hand, the formal
design, and on the other, the structural prolongation of E♭ by a chain of
descending major thirds. Their nonalignment is an issue that has on occasion
led to disagreements between formalists and structuralists.
Let me return briefly to the end of the third-chain (m. 66). Though there
is a change of surface design at this point, the rhythm associated with the sec-
ond theme continues in the accompaniment, to which is added new material,
stated first by the piano, then by the strings. The harmony progresses down
another third, this time a minor third, to C minor. I take this to be the pivot in
the modulation to B-flat major (V), the ultimate goal of the exposition.

Modulation

I have always thought of Schubert as the master of modulation, as the one who
can get from any key to any other key most quickly, efficiently, and effectively.
Whether true or not, this perception is not far off the mark. We can, of course,
find examples of well-prepared modulations in his late works similar to what
one finds routinely in the works of his immediate predecessors. Consider, for
example, the modulations from tonic to mediant in the initial movements of
the quartets in A minor, D. 804, and D minor, D. 810. In both cases, the transi-
tion to the second theme involves a motion to the dominant of the new key.
However, in this section we will focus instead on two different practices found
in Schubert’s music: (1) modulations involving minimal or no preparation;
and (2) enharmonic modulations involving reinterpretation of the dominant
seventh / augmented sixth chords. The final example involves enharmonic
treatment of a diminished seventh chord. In this instance the diminished sev-
enth chord is not the actual agent of modulation, but rather an integral part of
the progression leading to a change of key.
Three instances of minimally prepared modulations are shown in example
1.17. In all three cases, the pivot in the modulation is a single pitch, not a com-
mon chord. At (a) is the brief connection between first and second themes in
the first movement of the Symphony in B Minor. The first theme closes with a
perfect authentic cadence in measure 38. The horns and bassoons then con-
verge on D4, the third of the tonic triad, which is subsequently treated as the
fifth in the new key of G major (VI). The four-measure transition leads to G
major on the downbeat of measure 42, where Schubert provides two measures
of the local tonic before the second theme is stated by the celli beginning
in measure 44. There is an analogous situation in the first movement of the
C-Major Quintet, as shown in example 1.17b. In this instance, the first theme
cadences on the dominant (m. 58). The two celli then state G4, the root of the

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 harmony ❧ 31

dominant, and subsequently treat it as the third in the new key of E-flat (♭III).
Here the transition is only two measures in length, and Schubert does not
provide additional measures on the new tonic before launching into the new
theme, as he did in the first movement of the Symphony in B Minor. In my sim-
plification of this passage I have not included the accompaniment in the upper
string parts in measure 60, nor have I provided the continuation, since we dis-
cussed this theme earlier in a different context (see ex. 1.11b, which shows
the second statement of this theme). An interesting feature of this idea is that
it cadences on a G-major chord, III♮ in the local key, but clearly a reference
to the dominant in the original key. It seems as if Schubert has never really
established the new key of E-flat—that instead it is a fanciful modal coloration
of C major. The eventual goal of modulation in this exposition is G major, the
dominant. Finally, example 1.17c shows the brief lead-in to the second theme
area in the first movement of the Piano Trio in B-flat. Once again, the pivot is a
single pitch, in this case A, the root of the A-major chord (III♯) in measure 55
and the third of F major in measure 59. In this instance the modulation is not
as abrupt as this example suggests, since the new key, F major (V), has already
been established in the preceding measures.

Example 1.17. Minimally prepared modulations

a.) Symphony in B Minor, D. 739 (I), 38 - 44
Cl. . . . Cl. . . . Theme 2
38 œœ Hn.
# 3 œœ Œ Œ ‰ œœ œœ œœj ‰ œœ œœ œœj
& #4 œœ ˙ ˙™ ˙™ œ œœ œœ œœ sim.
.J .J

{
. . . .
œ œ. . . . . .j
ff Vla.
œ
˙ ˙™ ˙™ œ œœ n œ œœ œœj œ œœ œœ sim.
? ## 43 œ œ œ
‰œ . Œ ‰ œ œ œ™ œ
œ Œ Œ . Œ .J œ . Œ . Œ .J J
œ Bsn. pizz.
Vc.

b: i G (VI): I

b.) Quintet in C Major, D. 956 (I), 58 -60

58 Theme 2
# œœ
& # c œœ ˙ ™™ w˙ œ nœ b˙˙ ™™ nœœ œœ

{
Vc.
f œ
? ## c œœœ
fp pp
Œ Ó ∑ bœ Œ Ó
œ
pizz.
V Eb (bIII): I
-
c.) Piano Trio in B-flat Major, D. 898 (I), 55 59 Theme 2
55
b
&b œ Œ Ó j œ
j
w œ œ. œ. œ. ˙ œ

{
œ œ
sim. Vc.
#œ 3
? bb nœ nœ nœ #œ œ #œ w
œ bœ nœ nœ #œ œ #œ ∑
w
3 3
Pf. 3
F (V): IIIx I

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 32 ❧ chapter one

Schubert’s Moment musical in A-flat, D. 780, no. 6, provides a clear example

of the functional interchange between the dominant seventh and augmented
sixth chords. In the key of A-flat, the augmented sixth chord (German form) is
F♭–A♭–C♭–D♮, enharmonically equivalent to E–G♯–B–D, V7 of A (♭II). The
other function of this chord, of course, is to lead to the cadential 4– 6–5 in the
3
tonic key. The excerpt at (a) in example 1.18 illustrates the latter, that is,
the use of the augmented sixth chord to lead to the dominant. The excerpt
at (b) shows the use of this same chord—now enharmonically respelled and
in a different inversion—to function as V of ♭II, respelled as A rather than
B♭♭. Note how Shubert prepares the sudden introduction of this chord by
employing the modally altered supertonic chord with F♭ rather than F♮ in
measure 63.
Another clear example of the interchange between these two functions
occurs in the second movement of the Symphony in B Minor, as demonstrated
in example 1.19, a piano reduction of measures 96–111. In both phrases, mea-
sures 96–103 and 103–11, the second theme is in the bass, the second state-
ment of which is greatly elaborated. In the first phrase, the augmented sixth
6–5. In the following
chord, circled in the sixth measure, leads to the cadential 4–3
7
phrase, Schubert treats this same chord respelled as V in the key of D major.

Example 1.18. Moment musical (no. 6), D. 780

40 a.) mm. 40 - 47
bb 3 b˙ œ bb˙˙ œœ œ˙ bœ œ œ œ œ b˙˙ ™ bœœ
& 4b ˙ œœ bbœ̇™ œ œœ b˙˙™™ ˙œ ™ bœ œ ˙ œ ˙ œ ˙ ™™

{
pp
J cresc. p
bb˙˙˙˙ œ b˙ œ b ˙˙ ™™ œœ
? bb 3 bb˙˙ œœ bb˙˙ bœœ ˙˙™™ ˙˙ œœœ ˙˙˙ œ
4
Ab: ¼VI +6 V4 3 I 7 8
5 4 3

b.) mm. 63 - 77
63
b #### nœœ œœ nœœ
& b bnœœœ ˙
bb˙˙™™
œ bœ œœœ Œ œœœ œœœ œœœ œœœ œœœ œœ
œ œ œ œ
œœ
œ

{ ? bb
bœ
bœ
b˙ ™
b˙™
œ
œ
Œ
ff
#### nœ œ
nœ œ
4
nœ
nœ
œ
œ
nœ
nœ
œ
œ
œ
œ
4
œ
œ
œ
œ
œ
œ
7 6 2 3
Ab: I ii ! OV R ¼II

68 Theme 2
## bbbb
& # # b bb˙˙˙ ™™™ nb˙˙˙ ™™

{
p fp pp
r
nœ œ œ œ œ œ n œœ œ œœ n œœ œœ b ˙˙ ™™
? #### b˙ ™ ˙ n#nœœœ œœœ nœœœ œœœ nœœœ œœœ œœ œœ œœ œœ ˙˙˙ ™™™ ˙™ ˙™
b˙™ ˙ bbbb ˙™ ˙™ ˙™
™™
˙™ ˙™ ˙™
4 4
N 5 2 3 N 5
V 4 3 , O V R ¼II V4 3 i

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 Example 1.19. Symphony in B Minor, D. 759 (II), piano reduction and analysis of
mm. 96–111
. . . .
96 œ œ . œ œ . œ œ œ. œœœ. #n œœœ œœœ œœ œœ ‹œœœ n œœœœ
#
# # œ œ . œ œ œ #œ œ œ ‹œ nœœ. # œœ.
& # 38 œœœ œ œ œ œœ œ œ œ œ #œœœ œ œ œ œ œ # œœ

{
œ.
ff 1 2 3 4 5 6 7
j œ j œ
? #### 38 œ ™ œ™ œ ™ œ ™ œ œ œ
œ™ œ™ œ™ œ™ œ œ œ œ œ. œ œ
8 œ. 7 œ.
6 7 4 6 +6 6 5
c#: i ii V2 i iv 5 V4 #
i

>œ œœ >œ
œ.
103
# ## œœœ œ œœ. œœ
& # œœœ œ
>œ œ œ
œ
œœ
œœ.

{ 8/1
? #### œKr œ œ œ œ œ œ œ œ œ œ œ
œ
i
Kr œ œ œ œ œ œ
œœ
œ
œ œ œ œ œrK œ œ œ œ œ œ œ #œ œ œ œ
œ

. .
#>œœœ œ œ. œœ. n# œœ œ œ œœ. nn œœœ
# ## œ œ.
106
œ œ œ œ #œ œ œ œ nœ
&# œ œ

{ Kr
? #### œ œ œ œ#œ œ œ œ œ œ œ œ
œ œ
Kr
œ
œ
Kr nœ œ
œ œ œ œ œ œ œnœ œ
œ
Kr
œ œ œ#œ œ œ œ œ œnœnœ œ
œ
RÔ
D: V7

109
nœœœœœ œœœœœ œœœœœ œœœœœ n œœ
# ## nnœœœ œœœ œœœ œœœ nœœ
&# nœ œ œ œ J

{ ? #### Kr

D:
œœ
fz

œ n œ nœ œ œ œ
V7
œœœœœ
œ nœ œ œ
œ œ œ œ œ œ œ œ nœ
j

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 34 ❧ chapter one

Note how Schubert sits on this chord for two extra measures, giving the ear
time to anticipate and adjust to its functional change.16
Example 1.20 is a simplification of measures 40–63 (the first part of the B sec-
tion) from the second movement of the G-Major Quartet. This section, along
with the B section from the second movement of the C-Major Quintet, is one
of the most unsettling, perhaps even frightening, passages in all of Schubert’s
instrumental music. Both follow A sections that might be described as tranquil,
though the opening of the quintet, with its undercurrent of energy, is less so
than that of the quartet; the B section of that movement is like an explosion
of angry and nervous energy, always trying to settle down, but somehow never
quite able to do so. The B section of the quartet also offers maximum contrast
to the preceding material. I would describe it as paranoid, almost otherworldly,
with strange outbursts and calls, characteristics that are unfortunately lost visu-
ally in my example. Like all else in this book, you have to listen to the music to
understand what I am talking about. I bring your attention to measures 53–59,
a sequence progressing downward by minor thirds, above which a creature
from the realm of G minor keeps calling to us. What is not apparent is that all
of this is generated from a single diminished seventh chord, enharmonically
spelled, as demonstrated below.

F*/G – (A♯) – C♯ – E → G♯46

E – (G) – B♭ – D♭ → F46
C♯ – (E) – G – B♭ → D46

In each instance the third of the chord is missing, making identification more
difficult. As noted earlier, this progression does not lead directly to a new key;
it leads us to D, which, in imitation of measures 40–43, moves down a half step
to C♯, the dominant of the new key, F-sharp minor. I also bring your attention
to the hypermeter, which alternates between duple and triple, contributing to
the unsettling quality of this passage.

Truncated Progressions

I gave considerable thought to the most appropriate title for this section. What
I mean by truncated progressions are those that are left incomplete or are missing
something important, like the dominant. Examples of the former type occur
typically in sequences where resolution is avoided until the ultimate goal of the
sequence is reached. We have just encountered one instance of this in mea-
sures 53–59 from the second movement of the G-Major Quartet (see ex. 1.20).
Here the dominants of C-sharp minor, B-flat minor, and G minor are left unre-
solved. A similar, though more complex, progression is shown in example 1.21,

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 harmony ❧ 35

Example 1.20. Quartet in G Major, D. 887 (II), reduction and analysis of mm. 40–63
Coda
œ œ
40
# bœœœ bœœœ œœ bœ bœ Q œ b œœ
bœœ œœ œ bœœ œ Q bœ bœœ
& œ bœ œ œ œ œ œ œ bœœ œ œ

{ ? # œ bœ œ
1 2 3
œ
4 3
1

œ
2

œ
3

œ
o7
1

œ
2

œ
3

œ
1

œ
2

œ
1

œ
2

œ
g: V i i iv i iv i
i

nb œœ b œœ
53
# #œœ
& nnœœ # œ # œ n œ
# œ # œœ ## œœ bnœœ b œ bb œœ œœ b# œœ œ b œœœ œœœ œ # œ œ œ #œ œ

{ ? # nœ #œ

c#:
1

#œ
O o7 R
2

6 5
1
bœ bœ

bb: O o7 R
2

nœ
6 5 g:
1
bœ œ

O o7R
2

œ
6
3

œ
5
1
œ #œ
2 3
œ
4 #
1

4 3 4 # 4 3
V chain of minor thirds V V f#: V i

a simplification of measures 134–70 from the first movement of the Symphony

in B Minor. I have left the notation of pitch as indicated by Schubert in the
score, but note values in this “reduction” do not indicate relative duration.
Intensity increases in measures 134–45 due to the repetition and gradual con-
densation of the descending third G–F♯–E over a sustained F♯ harmony. On
the last quarter note of measure 145, Schubert suddenly introduces an A7
chord, but the notated G♮ functions like an F*. As notated on the example, this
chord functions as an augmented sixth chord, which resolves to the cadential
six-four over G♯, potentially the dominant in C-sharp minor. In this instance
the six-four is essentially sustained until the five-three in the eighth measure of
this extended harmony.17 There is no resolution of this potential dominant.
Instead Schubert launches into a modified version of the preceding measures
at a different pitch level. Measures 154–57 express a diminished seventh chord
(replacing the augmented sixth chord) of the dominant of D minor, to which
it leads in measures 158–61. Again, the potential dominant is left unresolved,
as we move on to the third statement in the sequence. Here some might be
led astray by Schubert’s notation. What looks like a C7 chord is really an aug-
mented sixth chord with the B♭ functioning as an A♯, which resolves to the
dominant in the key of E minor. This time the dominant resolves. The goal
of this entire passage is to return to E minor (iv), which has been prolonged

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 36 ❧ chapter one

Example 1.21. Symphony in B Minor, D. 759 (I), reduction and analysis of mm.
134–70
134
j146 154
nœ œœ œ nœ #œ œœ #œ nœ œ
# #œ œ œ œœ œœ #œœ #œœ #œ nœ œ
&# nœ œœ #œ

{
f ff p ff
œ œœ #œœ nœœ
1 2 3 4 1 2 3 4 1 2 3 4
? ## #œ
œ œ œ nœ #œ œ œ œ #œ œ œ #œ œ œ œ œ
J
d: O o5
987 c#: +6 6
V4 6 5 6
b: V 5 4 # R

162

# nœœ œœ bœ œ œ œœ œœ œœ
œœ œœ #œœ œ
&#œ bœ œ œ nœ

{
p ff 1 p ff
1 2 3 4 2 3 4 1 2 3 4 1
? ## nœ œ œ œ œ
œ bœ œ œ œ œ œ
œ
V 6 5
4 3 e: +6 6 5
5 V4 # i
b: iv

since the statement of the introductory theme in that key beginning in mea-
sure 114. I have labeled harmonies and potential keys in this excerpt—prob-
ably in greater detail than some of my colleagues would deem appropriate—to
demonstrate Schubert’s use of harmony close up. But I also want to stress that
all this, beginning back in measure 114, functions within the prolongation of E
minor, the subdominant, which will eventually lead to the dominant following
another sequential passage involving incomplete local progressions.18 I think it
is important to understand such passages at a detailed level, but only as long as
we also understand how the details fit into the larger picture.
There are other instances in Schubert’s music where an expected domi-
nant is omitted. A beautiful instance of this can be heard in the first move-
ment of the Piano Sonata in A Major, D. 664. The first theme has a ternary
deign, a (8)–b (4)–aʹ (8), where the a sections are further divided into 4 plus
4. In the last measure of the b phrase (m. 12), Schubert repeats the opening
melodic figure while the bass arpeggiates down to A through a sustained tonic
triad, creating a seamless connection. The approach to the recapitulation is
accomplished in the same way. A somewhat different situation is heard in the
second movement of the Symphony in B Minor. In this movement Schubert
approaches the recapitulation via an augmented sixth chord, but instead of
resolving it to the expected dominant, this chord leads directly to the tonic in
conjunction with the opening melodic material. The effect is to weaken the

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 harmony ❧ 37

return to tonic, which, as demonstrated in example 1.5b, is not a functional

return, but rather becomes V of the subdominant.

❧ ❧ ❧

All of the categories presented in this chapter are characteristics of Schubert’s

mature instrumental writing. This does not mean, of course, that we won’t
encounter them on occasion in his earlier works, but they are more prevalent
in the later ones. In discussing the examples I have also included information
on phrase rhythm and motive, particularly the former, topics not yet covered,
but I have done so to provide a more comprehensive account of the musical
organization than consideration of the harmony in isolation. Let’s move on
now to a closer examination of phrase rhythm.

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 Chapter Two

Phrase Rhythm
The topic of phrase rhythm has become central to our understanding of
tonal music, and for that reason I offer the following brief comments from my
Advanced Schenkerian Analysis: Perspectives on Phrase Rhythm, Motive, and Form for
those not conversant with this aspect of musical organization.

The term “phrase rhythm” refers to the interaction of phrase, a unit of

tonal motion with a clearly defined beginning that leads to a point of rest (a
cadence), and hypermeter, the existence of recurring patterns of accented
and unaccented measures. The components of a hypermetric group or unit,
called hypermeasures, function much the same as beats within a measure.
By definition, then, hypermetric units are beginning accented with the first
measure of the unit receiving the greatest stress. In Free Composition, Schenker
has pointed out that hypermeter most naturally occurs in multiples of two.
The most common hypermeter is quadruple, but duple is fairly common as
well. Hypermetric groups containing an odd number of measures are rela-
tively rare, and when we do encounter them, they often occur in pairs.1

Before considering any of these situations, perhaps it would be helpful first to

address two fundamental questions. First, should we assume the existence of
hypermeter in Schubert’s music? The answer is a qualified yes, though it is less
clearly articulated and less periodic in some instrumental works than in others.
As a general rule, the clearest examples of metric regularity are found in move-
ments that have their roots in dance music, like the minuet or its frequent
replacement, the scherzo. But even with the scherzo, you can expect that
the established pattern will inevitably be undermined in some way sooner or
later. Hypermetric organization is certainly an important component in most,
though not all, of Schubert’s sonata forms.2 The second question is: How do
we recognize the existence of hypermeter? We do so on the basis of repeated
tonal and/or rhythmic patterns.
Let us begin by looking at the opening measures of the scherzo move-
ment from the “Trout” Quintet, which is provided in example 2.1. Here the

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 phrase rhythm ❧ 39

quadruple hypermeter is clearly articulated in the first twelve measures, as indi-

cated above the piano part. I have placed the continuation, which is a group
of six rather than four measures, in parentheses, because—as we shall discuss
later in the chapter—it extends the harmonic goal of the passage, the dom-
inant, and thus is considered external to the underlying hypermeter. I have
also placed a different group of six measures in parentheses in the piano part
beginning in measure 12. Here this competing metric group does not present
a challenge to the established pattern, but there are circumstances where this
will be the case. A second example from the “Trout” Quintet, the introductory
section from the first movement, is provided in example 2.2. This movement
begins with a two-measure lead-in that I have also placed in parentheses, since
it precedes the actual hypermeter beginning in measure 3, as indicated below
the cello/bass staff. Here again the quadruple grouping of measures is clearly
articulated. In measure 19, the hypermeter, which is continued in the piano
part, becomes duple (three groups of two measures), against which there is
a temporary hint of a competing hypermeter created by the imitation in the
viola part. Note that the changes of harmony—the augmented sixth chord, the
cadential six-four, and the goal of the passage, the tonic—all fall on hypermet-
ric downbeats. In this regard it is instructive to compare this passage with the
excerpt from the Impromptu, D 935, no. 2 examined in the first chapter (see
ex. 1.3). Once again, the quadruple hypermeter is clearly evident in the initial
eight measures; it corresponds to the division of the musical period into two
phrases. The hypermeter continues after the change of key signature, but the
local goal, the A major chord, suddenly arrives (ff) in the middle of the metric
group, adding to the surprise and creating an imbalance that is restored only
with the entrance of the subdominant in measure 75, a downbeat measure in
the hypermeter.
As we have just observed, there can be a symbiotic relationship between
hypermeter and harmony, just as there is an important relationship between
hypermeter and phrase. But here we must be careful not to assume there is a
general correspondence between, say, hypermetric stress and the placement of
goal harmonies. There are circumstances where goal harmonies routinely fall
on weak measures in a metric group and other circumstances where they fall
on hypermetric downbeats. Refer again to example 1.3. As already noted, the
first eight measures are divided into two phrases, an antecedent and a conse-
quent. In the latter, the goal harmony falls in the fourth measure of the phrase,
a weak measure in the hypermeter. This is frequently the case in an anteced-
ent–consequent phrase structure. On the other hand, there are circumstances
where important changes of harmony and harmonic goals naturally fall on
hypermetric downbeats, as in example 2.2. This leads us to another important
topic under the heading of phrase rhythm, phrase overlap. There are situa-
tions where one phrase ends, and then the next one begins in the following

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 40 ❧ chapter two

Example 2.1. “Trout” Quintet D. 667 (scherzo), mm. 1–19

Presto .
. . œ œ œ. œ. œ. œ . œ. œ. œ œ œ œ œ. œ. œ. œ. œ. œ. œ. œ. œ.
### 3 œ œ ‰ œ
& 4 ‰ Œ Œ ∑ ∑ ∑
f
. . œ . œ. œ. œ . . . œ œ œ œ p
œ. œ. œ. fœ. œ. œ. sf
# # 3 œ. œ œ œ œœ œ. œ. œ.
B #4 ‰ ‰œ Œ Œ ∑ ∑ ∑
f p f sf

f
f
. . . . . . sf

œœœ Œ Œ œœœ Œ Œ œœœ œœœ œœœ œœœ Œ Œ œœ œœ # œ œ œ n#œœ

? ### 43 ‰ Œ ∑ ∑ ∑ ∑ œ œœ
‰Œ œŒ Œ œŒ Œ œ œ œ œŒ Œ ∑ ∑ ∑ ∑ . . . . . .
f f sf
Presto
## 1 2 3 4 œ œ œ . 1. . >˙ ™™ 2 . 3. . >˙ ™™ 4 œ1 œ
œœ Œ #œœ œœ 2 nœœ
& # 43 ‰ Œ Œ Œ
œœœ
Œ Œ œœœ œœœ œœœ œœ ‰ #œ œ œ n˙ #œ œ œ n˙ œŒ œ
œœœ

{
œ p
f
f
? ### 3 ‰ Œ
4 œœœ Œ Œ œœ Œ Œ œœ œœ œœ œœ Œ Œ & œ œ œ ˙ ™ œœ œœ œœ ˙˙ ™™ œœ Œ œ Œ
œ œ œ œ œ œ. œ. œ. ˙ ™ ... > œœ # œœ
> œ œœ œ
vi
A: I V7 I O ii

. . . . œ. .
œ. œ. œ œ
# # œ. œ. œ œ. œ. œ œ. œ. œ. œ œ. œ. œ
11
œ. Œ Œ œ. Œ Œ
&# Œ Œ ‰
sf fp fp fp ff .
.
# . . œ œ. Œ Œ œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ œ
B ## œ œ Œ Œ Œ Œ ‰
sf fp fp fp ff

. . . . . . . . . . . .
sf fp fp fp ff
. . . .
# œ œ #
Œ Œ œœ œœ œœ œ Œ Œ # œœ œœ œœ œ Œ Œ œ œ œ nœ Œ
? ### œœ œœ œ œ Œ Œ œ Œ Œ œ œ œ œ Œ
Œ œœœ
. . œ Œ Œ . . . . . . Œ œ
sf
. . fp
.
fp
. .
fp
. . .
ff

3 4
. ( 1 2
. 3 4
. œ. 5 6 ) 1
# # œœ #œœœ œ. œ. œ œ. œ. œ. œ œ. œœ. œœ. œœ œœ
&# œ Œ œ œ œ œ Œ Œ œ œ œ œ Œ Œ Œ Œ ∑
œœœ

{ ( 1 2 3 4 5 6 )
p fp
ff
##
& # œœ Œ nœœ œœ. œœ. œœ. # œœœ Œ Œ œœ. œœ. œœ. # œœœ Œ Œ œœ œœ œœ nœœœ Œ Œ ∑ ?
œœœ
œ œ . . . . . .
7
V7 R V I

measure. But there are also circumstances where the point of arrival at the
end of one phrase simultaneously becomes the point of departure for the
next phrase, a common procedure used by composers to keep the momentum
going and thus to avoid having the music constantly stop, then start again. The
result is a phrase overlap. When the goal harmony of the first phrase ends on
the last measure of a metric group, then the phrase overlap occurs in conjunc-
tion with a metric reinterpretation, e.g., 8/1 (sometimes written as 8=1), which

Beach.indd 40 4/4/2017 4:33:06 PM

 Example 2.2. “Trout” Quintet D. 667 (I), mm. 1–29
Allegro vivace
>
## œ n˙ œ œ ˙ œ Œ ˙ ˙
Violino & # c œœ Œ Ó ∑
˙ #˙ ˙ ˙
œœ
w ˙™
˙ #˙
œ Œ
f pp
œ > ˙ œ
B ### c œœ Œ Ó
w
Viola
∑ ∑ Ó ˙ Œ ∑ ∑
f pp

f pp > ˙ #˙ ˙ ˙
? ### c ŒÓ ∑
˙ #˙ w n˙ œ œ ˙ œ Œ
Violoncello e
Basso œw w w w w w w w
f p pp

Allegro vivace 1 2 3 4 1 2
œ 3
œ
œœ œœ
## œœ œ œ Œ Ó œœ
& # c >˙ œœ œ œ ∑ ∑ ∑ Ó œœ Œ Ó ∑

{
3 p3 3
( sf 1 œœ 2)
Pianoforte 3
fp
? ### c ˙ œ
3

˙ ŒÓ ∑ ∑ ∑ w œŒ Ó ∑
w œ
A: I

nœ
##> nœ œ n œ
9
> 3 3
>
&# ˙ œ œ ˙ œ Œ ∑ ∑ ∑ n˙ œ œ nœ Œ Ó ∑ nw
w
pp

> n˙ n˙ n˙ ˙ b >˙ n œ œ #˙ œ ˙ #˙ ˙ n>˙ œ bœ

B ### ˙ ™ œœ ˙˙ œœ Œ Œ n˙
> pp
n˙ œ œ ˙ œ
? ### Œ ∑ ∑ ∑ ∑ ∑ ∑ ∑
w w nw w w w w w w
3 4 1 2 3 4 1 2 3
˙ #˙ ˙ n˙ >˙ œ nœ ˙ nœ “”
## œœ
3œ œ n˙ n˙ n˙ ˙ b >˙ œ nœ
&# ∑ Ó œœ Œ
3

{ b >˙
p pp
˙ #˙ ˙ > n˙ n˙ n˙ ˙ œ nœ
? ### n˙ ˙ œ nœ ˙ nœ
∑ w & Œ
w
fp
½VI

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 42 ❧ chapter two

Example 2.2.—(concluded)
18
# # ˙ nœ 3 nœ œ Œ 3 nœ œ Œ > 3 œ #œ
3
> 3
Ó > Ó #œ œ
3
& # n˙ œ Œ nœ œnœ nœ œ nœ ˙ œœ
˙ œ nœ ˙ œnœ
cresc. f

b˙ œ n>˙ ™ œ nœ n˙ ™ œ œ ˙
B ### Œ ∑ ˙ #œ Œ œ Œ
cresc. f
( 1 2 1 2 )
cresc. f
3
nœ 3
nœ nœ Œ 3

? ### > 3nœ nœœ n œ Œ Ó > nœ œ n œ Ó > nœ œœ n œ œ œw Œ Ó

3 3

<n>w˙ œ œ œn˙ œ œ̇ n˙ ™œnœ œ n˙ œ œ̇ n˙ œ nœ >

4 cresc. f
<“>
# # n˙ œ n˙ ™ œ nœ ˙ #œ n>˙ ™ œ œnœ nœ ˙ #˙ ™ œ œ #œ#œ
&# Œ Œ #œ Œ

{ g1
cresc. 2 1 2 f1
n˙ ™
# # n˙ œ œ nœ ˙ #œ
n>˙ ™
&# Œ Œ œ œnœ nœ ˙
#œ
Œ #˙ ™ œ œ #œ#œ
8
+6 V6
5 4

Theme 1
>˙
24 œ œ œ œ œœ ˙
## ˙ #˙ ˙ œ
&# œ Œ
œœ
Ó ∑ Œ
pp
sf
>˙ œœœœ œ
œ œ œ. œ. œ œ œ. œ. œ œ œ. œ. œ œ œ. œ. œ œ œ. œ. #œ#œ œ. œ. œ œ œ. œ. œ œ œ. œ. nœ œ œ. œ. œ œ œ. œ.
B ###
sf pp

. . sf . . . . . . pp
. . . . . . . . . . . .
> œ œ œ œ œ œ œ œ œ œ œœ œ œ œ œ œ œ œ œ œ œ#œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
? ### w œ
œ œ œ œ œ œ ˙
˙ œ #œ œ Œ Ó Œ p Œ Œ Œ œ œ œ Ó
3
> 3 sf pizz. arco sf

œ
3

œ œ œœ œ
1 2 3 3

##˙ œ œ ˙ œ œœœ 3

&# ˙ œ
œ œ œ Œ Ó ∑ ∑ ˙ œœœœ œ œ

{
3
2 ff 1 2 sf 3
œœ œ
3
## ˙ 3
œœœ
&# ˙ œ œ ?
˙ Œ Ó ∑ ∑ ˙
˙ 3
7 I
5

tells us that the eighth measure of one phrase has become the first measure in
the next phrase. A clear example of phrase overlap with metric reinterpreta-
tion was shown in the opening example in chapter 1, the first theme and tran-
sition from the first movement of the Piano Trio in E-flat. The first phrase ends
with the tonic chord in measure 12, which simultaneously becomes the first
measure of the second phrase. You might question why I have indicated the

Beach.indd 42 4/4/2017 4:33:16 PM

 phrase rhythm ❧ 43

metric units of this phrase as 4 + 8 instead of 4 + 4 + 4. It is because the group

of eight is continuous and does not lend itself to division. An example of a
phrase overlap without metric reinterpretation occurs at measure 25 in exam-
ple 2.2. The tonic harmony in that measure is both the goal of the preceding
material and also the point of departure for the repetition of the two-measure
lead-in, which this time will introduce the first theme.
We have encountered two instances where there are brief suggestions of a
competing hypermeter in the “Trout” Quintet (see exx. 2.1 and 2.2). Typically
these situations arise from the interaction—frequently in the form of imita-
tion—between instruments or instrumental groups.3 There are also cir-
cumstances where the competing or “shadow” hypermeter asserts its role as
primary.4 Such a situation occurs in the scherzo movement from the Piano
Trio in B-flat, measures 48–85 of which are reproduced in example 2.3. The
final approach to the return of the opening material is a five-measure pro-
longation of the dominant, as indicated above the piano part beginning in
measure 49. The return coincides with a clear rearticulation of the original
quadruple hypermeter, which persists until the arrival at the B♭ cadence in
measure 69, the fourth measure of the hypermetric group. At this point the
piano and string parts no longer work together to express a single hypermeter.
The piano part continues in duple hypermeter, with a downbeat measure (m.
70) following the established pattern. However, in the string parts there is a
metric reinterpretation in measure 69, the result of which is the articulation
of the duple hypermeter one measure earlier than in the piano part. When we
reach measure 75 and the resumption of quadruple hypermeter, the pattern in
the strings persists. What has happened is that the hypermetric downbeat has
been moved back one measure, in essence adjusting for the extra measure just
before the return.
This brings us back to the one remaining matter to be addressed here,
hypermetric groups containing an odd number of measures. Consider the
opening of the first movement from the G-Major Quartet, which was repro-
duced in example 1.7. It opens with two five-measure groups, both of which I
have interpreted as 1 2 3 4 -, because the fifth measure has the character of an
echo of sorts—that is, as something added beyond the boundary of a regular
four-measure group. Whether or not this interpretation is “correct” or even
necessary, the fact remains that the movement opens with a pair of five-mea-
sure units. A somewhat different situation is found in the opening period of
the first movement from the Piano Trio in B-flat, which is provided in example
2.4. Here we have a five-measure group followed by one of six measures; only
in the continuation of this passage is a duple pattern established. The opening
five measures could easily be rewritten to contain four measures by assigning a
half-note value to the A5 on the third beat of measure four, thereby eliminat-
ing the sixteenth-note flourish as well as the entire following measure. This

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Beach.indd 44
Example 2.3. Piano Trio in B-flat Major, D. 898 (scherzo), mm. 48–85
a tempo
48
. . œ. œ. >œ. œ. > >. . >. .
™ œœ œ œ œ
° bb nŸ˙~~~~~~~~~~~~~~~~~~~~~~~~ >. . >. . >œ. œ. #>œ. œ. U œ nœ >
& œ. œ. œ œ bœ œ >œ. œ. >œ. œ. œ œ nœ œ ‰ bœ œ™ œœœ >
Ϫ
œœœ
œ. œ. œ.
ff p dim. p
Ÿ ~~~~~~~~~~~~~~~~~~~~~~~~ œ. œ. œ. œ. >œ. œ. >œ. œ. >. . >. . >. .
œ œ n œ œ œ œ >. . >œ. œ. >. . œœœ > œœœ . . .
? bb nœr ˙™ nœ œ
#œ œ œ œ >œ. œ.
> U œ n œ œ >œ ™
‰ œ™ œ œ œ
¢ œ œ. œ.
ff p p
dim.
4 1 2 3 4 5 1 2 3
a tempo
œœ œ œnœ œ > > > > > > > > U > > . .
b n œ
œ œ œœœœ œ.
&b Œ Œ Œ œ œ nœ œ œ œ œ œ bœ œ œ™ ‰ Œ œ™ ‰ Œ œ
nœœœ bœœœ
œ œ œ œ œ œ œ. œ. ‰ ‰ Œ œœœ œœœ
sf p dim. p
™ œœœ
? bb ˙˙˙˙™™™ Œ Œ ∑ ∑ ∑ œ. œ. U
‰ ‰ Œ œ™ œ ‰ Œ œ™ œ ‰ Œ ∑
{ œ œ œ œ

57 . œ. œ. œ. œ.
œ. œ. œ. . . œ. œ œ œ n œ. b œ. b œ. œ. œ. œœ. œœ. œœ. œœ. œœ œ œ. œ. œœ. œœ. œœ. œœ. œœ œ œ œ œ
° bb œ. œ œ œ œ œ œ œ œ œ œ œ
& œ œ. œ. œ. >œ œ
>. > > cresc.
> mf
. > >
? b >. œ. >œ. œ. >œ œ œ. œ. œ. bœ. œ. œ. œ œ. œ. b œ. œ. œ œ œ. œ. œ. œ. œ. b œ. œ. œ œ œ œ n œ
¢ b œ œ. œ œ. œ. œ. œ. Œ œ. &
. cresc. mf
4 1 2 3 4 1 2 3 4 1
œ. œ. . œ. œ. b œ.
bœ œœ. œœ nœœ. bœœ. œœ œœ œ œ nœ œ œ œ
&b œ œ œ. œœ œ œ œ. bœ. œœ
. nœ. œ. œ œ œ œ œ œ bœ œ œ œ œ. nœ. bœ.
œ. n œ. b œ. œ. œ. œ. . . . . œ. œ. œ. .
. . n œ
. >œ œ > cresc.
œ. œ. œ. bœ. œ œ
> mf.
? bb
œ. œ. œ. œ. Œ Œ ∑ œ. nœ. bœ. œœ œ œ. œ. bœ. œ œ œ œ nœ. bœ.
{ œ. œ. œ. . œ. œ. œ. .

4/4/2017 4:33:24 PM
Beach.indd 45
Example 2.3.—(concluded)
67 > >
° b œœ. œœ. œœ. œœ. œœœ œ. œ. >œ. œ. >œ. œ.
b œ Œ Œ ∑ œ. Œ ∑ œ œ œ . œ. œ. œ. œ œ
œ
& œ œ œ. œ. œ. œ. œ. œ Œ œ. œ. œ. . >
> p 2 œ. . . 1 2 1 2 1 cresc. 2
. . . œ. >œ œ
œ
. œ. œ. œ. >œ œ >œ. œ. >œ. œ. >œ. œ œ. œ. œ. œ . . . œ. œ. œ œ
bb ∑ ? Œ Œ ∑ œ. œ. œ œ œ bœ. œ. œ Œ Œ
¢& p
œ.
2 3 4 cresc.

œœœ œœœ œœœ œœœ œœœ œœœ ”

b œ œ œ Œ Œ Œ Œ
œ“œœ œœœ œœœ #œœœ œœœ œœ
œ Œ Œ œœœ œœœ œœœ œœœ œœœ œœœ Œ Œ ∑
& b œ œ.
.
œ. œ. œ œ œœ œœ œœ œ
p p 2 1 2 1 2
.> > 1 œ>œœ œœœ œœœ #œœœ œœœ œœ >
? bb œ. œ. œ. œ œ œ œ œ œ
œ Œ Œ & œœœ œœœ œœœœœœ œœœ œœ
œ Œ Œ œ Œ Œ Œ Œ ∑
{ œœœ œœœ œœœ œœœ œœœ œœœ

77 . . n œ. >œ œ >œ. n œ. œ. œ. œ. œ. >œ. œ. œ. . . œ œ. œ. œ. œ. œ

° b ˙™ bœ. œ œ œ œœœœ œ
& b ˙˙ ™™ œœœ œ œ œ. œ Œ Œ Œ Œ
˙™ nœ. œ. œ. . >
f 3 4 1 2 > p 3 4 1 etc. pp

˙™ . œ. œ. œ. >œ œ bœ. œ. œ. n œ. œ œ nœ œ . >

nœ Œ Œ Œ Œ œ Œ Œ ∑ œ. œ. œ. œ œ œ
&
? bb #˙ ™
¢
f p pp
“” b œ. . >. . . . .
b . . .
œ œ œ .
œ œ. œ. œ. œ œ œ œœ. nœœ. nœœ.
& b œ. œ œ œœ œ Œ Œ œœ Œ Œ œ. œ. œ. œ œ œ œ œ œ œ œ œ Œ Œ
. b œœ
.
n œœœ œ pp
f > p . > >. . . . .
n œœ. œœ. œ. œ. œ œ œ œ œ œ œ œ œ
b . .
œ .
œ œ
. >œ œ œ. œ. œ. œ. œ œ bœ.
œ ? œœ. .
nœ œ Œ Œ Œ Œ Œ Œ
&b œ &
{ œœ. nœœ
. œ

4/4/2017 4:33:28 PM
 46 ❧ chapter two

Example 2.4. Piano Trio in B-flat Major, D. 898 (I), mm. 1–12
Allegro moderato
œ. œ. .
° b ™ >˙ ™ œ œ œ >œ œ œ œ >œ œ œ œ ˙ œ œœœ .
Violino & b c ˙ œœœ œ œ.
œ Œ Ó
3 3 3 3
f
>˙™ œ œ œ >œ œ œ œ >œ œ œ œ . .
˙™ œœœ œ. n œ œ
? bc ˙™ Œ œ nœ. œ œ Œ
Violoncello
¢ b œ œ .
f 3 3 3 3
f
Allegro moderato
œœ œœ œœ œœ œœœ œœœ œœœ œœœ ˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ œœœ
? bbc œœ œœ œœ œœ œ œ œ œ ˙ ˙ ˙ ˙ ˙ œ Œ Œ
œœ Œ
œ
æ æ æ æ æ & œœ

{
f 1 2 3 4 (5) œ
Pianoforte
? bbc Œ œ Œ Œ œ™ œ œ Œ Œ œ™ œœ œ Œ Œ œ Œ
œ™ œ œ™ œ œ œ™ œœ œ ˙™ œ œ
˙™ œ
Bb: I V7

Ÿ~~~~~ . .
6
° bb ˙™ >˙™ œ œ b œ >œ œ œ b œ >œ œ œ œ ˙ œœ œ œ ˙ œ
œ™ œ œ œ œ™ œ œ™ œ >œ œ. >œ . >œ œ.
& nœ œ œ J J œ œœ œ
3 3 3 3 p 3 3
3
>˙ ™ Ÿ~~~~~ . .
?b
˙™ nœ œ b œ B
œ œ b œ >œ œ œ b œ >œ œ œ
œ œ™ œ ˙ œ œ™ œ œ œ
œ œ™ œ. œ œ™ œ œ Œ Ó
¢ b J &
3 3 3 3 p

b æ æ æ æ æ æ œœ ™™ œœ
& b œœœ œœœ œœœ œœœ œœœ œœœ œœœ œœœ ˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ b˙˙ ˙˙˙ n˙˙ œœœ œœœ œœœ œœœ œœœ œœœ œœœ œœœ œœœ œœœ œœœ œœœ œœœ Œ Œ œ™ œ

{
œ œœ œ œœ œ œ ˙ ˙ ˙ ˙ b ˙˙ ˙ n ˙˙
1 2 3 4 p 5 6 p 1œ
? bb Œ Ÿ œ ™™ œ œ j
œ Œ Œ œ™ œ œŒ Œ œ™ œ œ œ b˙ œ œ œ ‰
œ™ œ œ™ œ œ œ™ œ œ œ œ #œ nœ œ œ™ œ nœ œ
b˙ b˙ œœ œ n œ.
8 7
V vi ii 6 V6 5
5 4 3
ii ¼VII V I

raises the issue whether or not this group should be understood as an expan-
sion of four. Not necessary, of course, but certainly reasonable in relation to
the idea of phrase expansion, the topic of the second half of this chapter.
Regarding hypermetric groups of three measures, it would be difficult to
find a more spectacular example than that already observed in the B section
from the second movement of the G-Major Quartet (ex. 1.20), where the alter-
nation of duple and triple groups combined with sudden outbursts contribute
to the unsettled quality of the passage. Schubert makes a very different use of
three-measure units in measures 32–44 from the first movement of his Quartet
in A Minor, D. 804, a movement we will discuss in some detail in the second
part of this study. This passage precedes the sequence leading to the second
theme and second key area.

Beach.indd 46 4/4/2017 4:33:29 PM

 phrase rhythm ❧ 47

Phrase Expansion

Phrase expansion is a fundamental component in the music of the eighteenth

and nineteenth centuries, most certainly in the music of Schubert. There
are two basic ways in which a phrase can be expanded, externally and inter-
nally. External expansions come either before the phrase proper in the form
of an extended upbeat or lead-in, or after in the form of an extension of a
goal harmony. In either case the expansion is considered beyond the bound-
ary of the regular hypermeter, though the expansion itself may exhibit its own
hypermeter if it is of sufficient length. We have already observed an instance
of external expansion in the first movement of the Piano Trio in E-flat, where
measures 48–49 function as a lead-in to theme 2 (see ex. 1.1). In fact, each
time this theme is stated, it is preceded by a two-measure lead-in. Note that in
the example I have placed the numbers 1 and 2 in parentheses to indicate that
these measures are not part of the hypermeter. Two further examples of this
phenomenon are shown in example 2.5, both taken from the first movement
of the Symphony in B Minor. The movement opens with what I have labeled as
the motto theme, after which there is a four-measure lead-in to theme 1, shown
in piano reduction in example 2.5a. The two-measure lead-in to the second
theme is shown in example 2.5b. Example 2.6 illustrates the second type of
external phrase expansion; in this case, the initial statement of theme 2 from
the first movement of the “Trout” Quintet is extended with a four-measure
elaboration of the goal of the phrase, the dominant. Measure 74 then begins
the answering statement in the parallel minor. An interesting example of both
types of external expansion (not reproduced here) can be found in the open-
ing section of the second movement from the G-Major Quartet. The move-
ment opens with a two-measure lead-in to the cello theme. Later, at the end
of the B section, there is a four-measure extension of the goal harmony, the
dominant (mm. 26–29), which leads seamlessly to a repeat of the opening two-
measure lead-in.
Internal expansion is more complex and, for that reason, potentially more
challenging and interesting. There are four basic types, arising from:

1. Repetition of a segment of the phrase;

2. Extension of a single harmony;
3. Parenthetical insertion; and
4. Avoidance of the cadence.

With types 3 and 4, the added material will be shown in parentheses, visually
suggesting they are the same. They are related, but their causes differ.
We observed an instance of internal phrase expansion created by repeti-
tion of a segment of a phrase in our examination of the opening of the first

Beach.indd 47 4/4/2017 4:33:36 PM

 48 ❧ chapter two

Example 2.5. Symphony in B Minor, D. 759 (I), piano reduction

a.) mm. 1 -14
Motto theme
Allegro moderato
? ## 43 ™ ™™ ˙ œ
˙ ˙™ œ œ œ ˙™ ˙™ ˙™ &

{
pp
˙ œ
1 2 3 4 5 6 7 8
? ## 43 ™™
˙™ ˙ œ ˙™ œ œ œ
˙ œ ˙™ ˙™ ˙™

9
#
& # œ œ #œ œ œ œ nœ œ œ œ œ#œ œ œ œ #œ nœ œ œ œ œ œ #œ œ œ œ nœ œ œ

{
œ œ œ œ œ œ œ
pp
( 1 2 1
? ## œ ‰ œ œ œ œ ‰ œ œ œ ‰ œ œ œ
œ
œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ.

Theme 1
12
# ˙™
& # œ œ #œ œ œ œ #œ nœ œ œ œ ‰ #œ nœ œ œ nœ œ œ œœ ™ œ #œ œ œ œ #œœ œ nœœ œ œœ #œ

{
œ œ œ œ
2 ) 1 2
? ## œ ‰ œ œ œ ‰ œ œ œ œ ‰ œ œ
œ œ
œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ.

b.) mm. 42 -47

Theme 2
42
# j nœ œ j j j j j j
& # n œœ œœ œœ œœ ‰ œœ œœ œœ ‰ œœ œœ œœ ‰ nœœ œœ œœ ‰ nœœ œœ œœ ‰ œœ œœ œœ
œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ.

{
œ . .
pp
( 1 2 ) 1 2 3 4
. j
? ## œ œ œ œ™ j œ
Œ Œ Œ Œ œ ™ œ œ ™ œ ∑ œ œœ ™ œ œ œ œ œ ˙
œ. œ. œ Œ Œ œ j Œ Œ œ Œ Œ
. . .

movement from the G-Major Quartet (see example 1.7). I indicated this repeti-
tion, which occurs in what is labeled theme 1a (measures 15–24), as follows in
the hypermeter: 1 2, 1 2, 1 2 3 (2 3) 4/1. A somewhat different situation occurs
in the opening phrase of the first movement from the D-Minor Quartet, as
shown in example 2.7. Here I have put parentheses around measures 7–10, the
first rather than the second statement of this idea, because of Schubert’s har-
monization of this segment, which suggests a move toward F major (III). This

Beach.indd 48 4/4/2017 4:33:37 PM

 Example 2.6. “Trout” Quintet, D. 667 (I), mm. 63–74

Theme 2 œ œœœœ ˙ #˙
63
° ### œ ˙™ ‹œ œ #˙
& Œ Ó Ó

# œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. œ. . .
B ## œJ œ œ ‰ ‰ œ œ ‰ ‰ œ œ ‰ ‰ œ œ ‰ ‰ œ œ ‰ ‰ œ œ ‰ ‰ œ œ ‰ ‰ œ œ ‰ ‰ œ œ ‰ ‰ #œœ œœ ‰
p
p œ #˙ œœ œ # œ œ œ̇ #˙ ˙ ˙
? ### ˙™
œ œ œ̇
œ œ̇ œ œ œ
¢ Œ Œ Œ Œ Œ Œ Œ Œ Œ Œ
p
1 2 3 4 1
##
&# œ
œœ œœœ
Œ œœ œ œ Œ œœœ œ Œ œœ œ œ Œ œœœ œ #œ œ #œ œ œ
œœ œœ œœ œœ

{
œ œ œ œ #œ
p
? ### œœœœ œœœœ œ œœœ œœœœ œ
œ
Œ œœ œ Œ œœ œ Œ œœ œ Œ œœ Œ œ
Œ
œ

™ #œ œ #œ œ >Ÿ~~~~~~~~~~~~~~ #>œ œr œ. ™ œ. œ. ™ œ.
° ### ˙ œœ œ
68
J ‰
#˙
Œ
3
.œ n3œ. #œ. #œ.
&
œ. nœ. nœ.
fp p
. . . . . . >˙ #œ
B ### ‰ œœ œœ ‰ ‰ œœ œœ ‰ ‰ #œœ. œœ. ‰ ‰ œœ œœ ‰ ‰ #œœ. œœ. œœ. n˙˙ .
#œœ
> fp
>
fp 3 . .
. . . >œ œr . ™ . . ™ œ.
n˙ # œj œ ™
3
œ œ œœ œ œ #œ œ œœ
?# # œ #œ n>˙ . . nœ nœ œ n œ # œœ
‰ œ Œ
¢ # Œ Œ Œ nœ œ Œ. Œœ œ Œ Œ
2 3 4 .p
fp
### œ œ œ #œ œ œ œ #œ œ n#˙˙˙˙ œ .
#œœœ œœ Œ #œ
& œ œ œ œ œ œ œ nœ œ œ #œ œ œ œ œ#œ œ œ #œ œ n œ.

{
œ
p cresc. ( 1 sf 2 p
œ # œœœ
? ### œ œ# œ n#n ˙n˙˙˙ œ.
œ #œ œ
Œ Œ Œ Œ œ Œ Œ
œ #œ œ œ
œ #œ œ 8 7
O ?6
5
6
4
5R
3
V
V
>
72 .
° ### œ œ n ˙
nœ œ œ œ >˙ œœ nœ
&
dim.
> ˙
# # œ #˙ #>˙ œ
B # ΠJ
dim. p

#œ > dim.
> p

? ### Œ ˙ n˙ ˙ ˙™
œ
¢ w w
dim. p
##
& # Œ #œœ Œ nœœœ Œ nœœ Œ œ
œ # œœ

{
œ
3 dim. 4 ) 1p
? ### œœ Œ nœœ Œ nœ Œ œ Œ
œ œ œ
œ

Beach.indd 49 4/4/2017 4:33:40 PM

 50 ❧ chapter two

Example 2.7. Quartet in D Minor, D. 810 (I), mm. 1–15

Allegro
°
3 3
> >
Violino I & b c
˙ ™ œœœ œ Œ Ó ˙ ™ œœœ œ Œ Œ 3 Œ Œ 3 œ Œ Œ 3 ˙ ˙ œ œ œ w ˙ œœœ
˙ ™ œ. œ. œ. œ ˙™ œ. œ. œ. œ œ. œ. œ. œ œ. œ. œ. œ. œ. œ . . œ. ˙™ œ ˙ . . œ.
pp
.
ff
™
˙ œ. œ. œ. œ Œ Ó ˙ ™ 3
Violino II & b c œ. œ. œ œ Œ Ó ŒÓ ŒÓ
˙™ ˙™ . œ œ ˙ ˙ œ œ. œ. œ. w w ˙ ˙ œ œ. œ. œ.
ff 3 pp > >
1 2 1 2 1 2 1 2
3 3
Viola B b c
˙ ™ œœœ œ Œ Ó ˙ ™ œ ŒÓ
˙™ . . . ˙ ™ . œ. œ. œ œŒ Ó œŒ Ó ˙ ˙ œ œ. œ. œ. w ˙™ œ ˙ ˙ œ œ. œ. œ.
ff pp > >
. . . œ Œ Ó ˙ ™ œœœ
? c ˙ ™ œœœ ... œŒÓ
Violoncello
¢ b œŒ Ó œŒ Ó ˙ ˙ œ œ. œ. œ. w ˙™ œ ˙ ˙ œ œ œ œ
> > . . .
ff 3 3 pp 6
i iv 6 5 46 A iv

13
° U
&b w w
˙
p
U
&b w #w ˙™
p
3 4 1
U
Bb w œ
w œ
p
? U
¢ bw w ˙
6 5
V4 # i

foreshadows the modulation to F major later for theme 2, but his reharmoniza-
tion of this idea in the following four measures pulls back from this tendency
to keep the music very much grounded in D minor, for now.
A very clear example of a passage involving the extension of a single har-
mony within the phrase, in this case the subdominant, occurs near the end
of the first movement from the Piano Trio in E-flat. See example 2.8. In this
instance it is the minor subdominant—introduced by its dominant seventh
chord in four-two inversion in measure 565—that is being prolonged, first by
a voice exchange, as indicated on the score by the crossed lines, and then by
being transformed into an augmented sixth chord, which Schubert extends
for ten measures before resolving it to the cadential six-four. Until now I have
used the shorthand notation +56 to designate the German sixth chord, but here
I have notated it as iv♮56 to show its derivation from the minor subdominant. I
have not labeled the G♭ major chord in measure 569. It offers consonant sup-
port for the passing tone D♭6 within the melodic span of a fifth from A♭5 to
E♭6 (mm. 566–70, piano part). A more complex example is provided in exam-
ple 2.9, the second theme from the second movement of the Symphony in B
Minor. Note that this theme is preceded by a two-measure lead-in. The D-minor

Beach.indd 50 4/4/2017 4:33:46 PM

 Example 2.8. Piano Trio in E-flat Major, D. 929 (I), mm. 564–84
564 œ œ œœ
° bb œ Œ Œ œœ Œ Œ œ œ b˙ ™
& b Œ Œ œ œ Œ Œ bœ Œ Œ bbœœ Œ Œ bœ Œ Œ ∑
œ bœ œ œ
cresc. fff fff
n˙ ™
?b B
¢ b b œ Œ Œ bœ Œ Œ bœ
Œ Œ œ Œ Œ œ Œ Œ bœ Œ Œ bœ Œ Œ ∑
cresc. fff fff
( 1 2 3 4 )
œœ œ œœ bœ b œœ œ
b œœ Œ Œ œœ œœ Œ Œ bœœœ Œ Œ bbœœ Œ Œ bnœœœ Œ Œ œ bœ n œ
3

œœ Œ Œ bœœœ Œ Œ
3

&b b ∑ Œ
œ bœ nœ

{ b
bœ bœ
? bb œœœ Œ Œ bœœœ Œ Œ bœœœ Œ Œ œœœcresc. œ bœ
œ Œ Œ bœœœ Œ Œ bbœœœ Œ Œ
fff

b˙ ™
b˙™
1 2
˙ bœ
˙ bœ
3
b˙ ™
b˙™
Eb: I 4R
O V2 iv 6 iv §6
iv!5

573
° bb ˙ bœ bœ. b˙ ™ ˙ bœ b˙ œ œ n˙
bœ œ ˙
œœ
& b Œ Œ ∑ nœ Œ Œ
sf sf sf sf
n œ n œ. n˙ ™ nœ n˙ bœ œ b˙
B bbb # ˙ Œ Œ ∑
#˙ nœ
Œ Œ
¢
sf sf sf sf

œ œ œ œ œ œ œ. œœœœœœ ˙ “” œ b œ œ nœ œ
œ bœ n œ bbbœœœœ œœœœ nb˙b˙˙˙ bbnnœœœœ
3
b œœœœœ œ Œ Œ 3
œœœœœ ˙ œ nœ œ
&b b ∑ Œ
œ bœ nœ

{
sf sf sf
J
4 1 2 3 4 5 6 1
? bb <b>œ bœ œ b˙ ™ j
b ˙ bœ b˙ ™ œ bœ œ b˙ œ œ b˙ œ & œ œ œ œ œ œnœ ?
<b> œ b œ œ b ˙ ™ ˙ bœ b˙™ œ bœ œ b˙ œ œ b˙ œ œ
6
V4

581 œ œ
° bb œœ œ
& b ∑ Œ Œ ∑ œ
œ œ
B bbb ∑ ? œ Œ Œ ∑ œ
¢ œ œ

“œ” œ
bbb b œ œ œ œ œ œ œ œ œ œ œ œœ œ œœ œ œ œ
œ œ œœ œ
& œ œ

{ bb
2
? b œ œ œœ œ œ
œœœ œ
3

œ œœœœ
œœ
5
œ œ œ
4
œ œ œ œœ œ
œ 1œ

3 I

Beach.indd 51 4/4/2017 4:33:48 PM

 52 ❧ chapter two

Example 2.9. Symphony in B Minor, D. 759 (II), piano reduction and analysis of
mm. 66–83
Theme 2
1 2 3 4
66
## >œ™ >œ ™
Ϫ
& # # œJ ‰ ‰ ∑ œ™

{
( 1 2 ) pp

## > >
& # # œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œ œ œ œ
œœ œ œ œœœœ œœœœ œ œ œ œ # œ œ œ œ œœ # œœ œœ œœ
c# (vi): i 6
V5

1 2> 3 4 1
72
## œ >œ œ œ œœj œ œ œ œ œœ ™ œ nœ nœ
&##J J œ œ œ œ œ nœ œ œ œ œ ≈ ‰ ‰

{
R
f p pp 6
( F: V4
##
& # # œœ œœ œœ œ#nœœ œœ œœ œœ #œ œœ nœ œ œ œ nœœ œœ œœ nœ œœ n œœ nœœœ œœ œœ
œœ œ œ œœ œ œ œœ œ œ œ œ
i O V 7R iv 6
4 O V 56 R ½ii
( 1 2

2 3 4 1 2 3 4
>
n>œ
77
# # œ nœ œ œ nœ œ œ œ œ nœ œ™ œ™
&## œ œ œ # œ ‹œœ œ œ œ œ œ œ œ œ

{
7
5 vi ) dimin.
## 3
& # #<n>bœœœ n œœœ œœœ # œ œœœ nnœœœ œœœ œœœ œœœ nœœ œœ œœ œœ œœ ‹œœ œœ œœ œœ œ œ œ œœ œœ œœ œœ œ œ œ œ
œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ # œœ œœ œœ œœ
7
½ii V of ½ii = +6 6
V4 5
5 #
3 4 )

harmony, ♮ii in the key of C-sharp minor, is introduced by its dominant sev-
enth chord in six-five inversion in measure 74, and this applied dominant
seventh chord appears again, now in root position, following the prolonga-
tion of ♮ii. This secondary dominant is then respelled as the augmented
sixth chord in C-sharp minor, resolving in normal fashion to the caden-
6–5 in that key. The prolongation of ♮ii (mm. 75–78) involves a brief
tial 4–3
progression suggesting F major, as shown between the staves of the piano

Beach.indd 52 4/4/2017 4:33:54 PM

 phrase rhythm ❧ 53

reduction. This brief suggestion foreshadows the enharmonic modulation

to F major in the recapitulation.
A prime example of the expansion of a phrase by parenthetical insertion
occurs in measures 24–31 of the first movement of the Piano Trio in E-flat,
our opening example in chapter 1. The insertion is immediately recognized,
because of the sudden introduction of a progression in G-flat major (♭III),
which later, after the return to the tonic key, becomes the enharmonic domi-
nant of B minor (♭vi), the initial key of the second theme area. Another
example of this type of internal expansion occurs in the final phrase of the
exposition from the first movement of the A-Minor Quartet (see ex. 2.10). If
my interpretation is correct, this example introduces an additional phenom-
enon associated with hypermeter—successive downbeat measures, which occur
at the beginning of the phrase (mm. 86–87) as well as at the beginning of the

Example 2.10. Quartet in A Minor, D. 804 (I), mm. 86–100

fi
1 1 2 3 4 1
86 Ÿ~~~~~~~ ˙™ œ œ œ 3œ œ œ 3œ œ Ÿ~~~
° ˙™ ˙™ œ ‰ œ ‰
& ˙ œ J J ˙ b˙
˙
pp pp
Ÿ~~~~~~~ ˙™ œ œ œ ˙ œ œ ˙
œ œ™™ œ œ ‰ œ ‰ b˙
& ˙ œ RJ J ˙
˙
pp
pp
bœ #˙ ˙ n˙ n˙ œ™™ œœ œ
B œ ‰ Œ Ó Ó bœ R J ‰ J ‰ b˙ b˙
J
pp pp
œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ™™
œ
? J ‰ Œ Ó Ó œ ‰ J œ œ ‰ œ ‰ bœ Œ Ó
¢ RJ J
pp pp
Ab: Æ I
6V6 7
C (III): I O V 24 R ii 6 4
V2 I6 IV 5 4 3 ¼VI

Æ Ÿ~~~~~~~~~~~~~
92 1 2 3
Ÿ
2
>
43
œ
1Ÿ˙~~~~~~~~~~~~ 4œ œ œ œ œ # œ ˙ œ
° b˙ œ œ b˙ œ œ œ bœ bœ ˙ b˙ w œ
& bœ ˙ nœ ™ œ œ œ œ œ . œœ Ó
J > > .
3 3 3 3
f
f
> œ.
œœ
œ Œ œ œœ œœœ œ Œ œ œœœ
3

& b˙ b˙ ˙ b˙ œ b˙ ™ ˙ ˙ œ nœ œ œ œ œ ˙ œÓ
œ
f 3 3 3
f œ.
˙ b˙ b ˙ bœ œ œ > >˙ >˙ >˙ œ.
B ˙ œ bœ b˙ ™ bœ ˙ nœ œ œ ˙ >˙ œœÓ
œ.
f
f
Ÿ Ÿ >˙ >˙ >˙ >˙ œ.
? b˙ ˙ bœ bœ œ bw nœ œ œ œ w œ Ó
¢ b ˙ ˙ b œ
f œ.
f
I 4 I 6 V 6 I IV
V2 V46 5 8 7
5 3 fi 6
I V6 5 I6 V I V I
4 3

Beach.indd 53 4/4/2017 4:33:58 PM

 54 ❧ chapter two

parenthetical insertion (mm. 91–92). In essence this insertion arises as an

avoidance of closure in the key of C major, so it properly belongs in the next
category. But what differentiates this example from others of this type is that
closure does not come immediately after the excursion in A-flat major, but
instead is delayed for another four measures.
The most common type of internal phrase expansion in Schubert’s music
is the avoidance of the cadence, sometimes resulting in extensive excursions.
Here I offer three examples. The first is taken from the first movement of the
Quartet in D Minor, measures 25–41 (see ex. 2.11). The underlying phrase
is eight measures in length, expanded to seventeen by a nine-measure inser-
tion that delays arrival at the tonic. The insertion involves the almost-stepwise
descent of an octave in the bass with a necessary registral change, while the
uppermost voice progresses in contrary motion. The point of departure for
this wedge is the diminished seventh of V heard earlier in the phrase, and
it returns to the cadential 4– 6–5 via the augmented sixth chord. The second
3
example is taken from the first movement of the Quintet in C Major, mea-
sures 121–38 (see ex. 2.12). The underlying phrase contains the progression
I–♭II6 (Neapolitan sixth)–V4– 6–5–I in the key of the dominant; but the arrival
3
6–5
at I is delayed first by a six-measure digression that returns to the cadential 4–3
and then by a varied repetition of that phrase. The final example (ex. 2.13)
involves a gigantic insertion following a dramatic measure of silence. This pas-
sage occurs during the second statement of theme 2 in the first movement
of the Symphony in B Minor. The basic underlying phrase is six measures in
length. The dramatic insertion begins with a C-minor chord (the minor sub-
dominant in the key of G major), which passes through a six-four chord to ♭VI,
which is subsequently transformed into an augmented sixth chord in measures
68–70 with the addition of C♯. We might expect this harmony to lead to the
cadential six-four, perhaps to progress directly to measure 85 or the equivalent.
Instead, with the chromatic change in the bass from E♭ to E♮ in measures
71–72, the music leads to a further digression within the larger insertion, a
sequential passage based on a motivic fragment from the theme. Eventually
this passage leads us to the expected dominant in measure 85, and though
we do get resolution to the tonic in measure 89, the varied repetition of the
cadential progression pushes through to the final arrival in measure 92.
As a final example in this chapter, I offer my interpretation of the expanded
second phrase from the B section of the second movement of the C-Major
Quintet.5 Because of the length and complexity of this expanded phrase, I
have provided a reduction, a simplification, of the score in example 2.14. Like
the B section of the second movement from the G-Major Quartet, this section
offers maximum contrast to the preceding material. It projects a highly agi-
tated state due to a number of factors: key, dynamics, complex subdivisions of

Beach.indd 54 4/4/2017 4:34:02 PM

 Example 2.11. Quartet in D Minor, D. 810 (I), mm. 25–41
25
° œ œ. œ. ˙ œ œ œ. œ. ˙ œ œ œ œ œ œ œ œ œ œ b˙
&b œ
p
6
æ
6 6
æ
6 6 æ æ æ æ
& b ˙æ™ ˙™ æ
˙™ ˙™ æ
˙™
æ
œ™ œ œ œ œ™ œ™ bœ ™ œ™
˙™ ˙™ ˙™ ˙™ ˙™
p

B b ˙™
6
˙6 ™ 6
˙™ ˙6 ™ 6
˙™
6
˙™ œ™ #œ ™ nœ ™ œ ™
æ æ æ æ æ æ æ æ æ æ
p
1 2 3 4
œ .
? ˙ #œ. nœ œ œ ˙ #œ. nœ œ œ œ œ. œ b˙
¢ b . . . . w
p

d: i V7 ‘ i

29 fi
° b bœ œ œ. œ. ˙ bœ œ œ. œ. ˙ œ œ nœ œ œ #œ bœ œ œ. nœ. >˙ bœ œ bœ. œ. >˙ bœ œ nœ. œ. >˙ bœ œbœ. œ. >˙
&
pp pp

& b b˙æ™™ æ æ
b˙˙ ™™ æ æ
œ™ œ nœ œ œ™ œ ™ b˙˙ ™™
æ æ æ æ æ æ æ
˙pp
˙˙ ™™ ˙˙ ™™
pp
˙˙ ™™ b˙˙ ™™ ˙˙ ™™ b˙˙ ™™ ˙˙ ™™ b˙˙ ™™ ˙˙ ™™

B b b˙æ™ æ æ æ æ æ æ æ æ æ æ æ æ æ
˙™ b˙ ™ ˙™ ˙™ ˙™ b˙ ™ ˙™ b˙ ™ ˙™ n˙ ™ ˙™ b˙ ™ ˙™
pp
1 2 3 pp

?b
¢ ˙ œ œ œ. œ. ˙ œ œ œ. œ. ˙ œ œ ˙ œ œ œ. œ. b˙ œ œ œ. œ. ˙ œ œ nœ. œ. b˙ œ œ bœ. bœ.
pp
o 6 5 Æ pp
O 7R VI ‘ iv7 V4 3 /

Æ
œ. œ. œ.
3
36 œ œ nœ. nœ. >˙ ˙™
° b œ œ bœ. bœ. >˙ #œ œ #œ. #œ. >˙ #œ œ nœ. #œ. >˙ #œ œ nœ. #œ. #>˙ ˙™ œœœ
&
cre scen do ff

æ æ æ æ ˙™ œ. œ. œ.
3
& b b˙˙æ™™ æ
˙˙ ™™
æ
#˙ ™
æ
˙ ™™
æ
#˙ ™™
æ
˙ ™™ ˙™ #˙ ™ ˙™ ˙™ ˙™
n ˙™ ˙ ˙ ˙ ˙™ ˙™ ˙™ ˙™
cre scen do ff
3
B b b˙æ™ æ
˙™ ˙™ #˙ ™ #˙ ™ ˙™ #˙˙ ™™ n˙˙ ™™ ˙˙™™ œœ ™™ #œœ ™™ ˙™ nœ. œ. œ
æ æ æ æ æ æ æ æ æ .
cre scen do ff 4/1
?b nœ œ #œ. #œ. #˙ bœ œ nœ. nœ. n˙
3

¢ ˙ œ œ bœ. bœ. # ˙ # œ œ # œ. #œ. n ˙

œ œ. nœ œ ˙™
. . œ. œ. œ.
cre ff
scen do
+6 6 5 fi
5 V4 4 # 0 i

Beach.indd 55 4/4/2017 4:34:02 PM

 Example 2.12. Quintet in C Major, D. 956 (I), mm. 121–38

bœ ™ nœ œ. >œ œ 3œ. œ. n œ. 3. .
121
œ. #>œ œ >œ œ >œ œ b˙ œ bœ œ #œ
°
&
œ.
p cresc. f decresc.
>
œ bœ
b œ ™ nœ œ. ˙
& œ. #œ œ œ œ œ œ b˙ J ‰ Œ
œ. > > > ˙
p cresc. f

> >œ >œ bœ œ b œ ™ n œ œ. >˙

b˙ J ‰
B œ. œ. œ Œ
p cresc. f

œ. #>œ œ >œ œ >œ œ b˙ >

? œ. & bœ bœ œ™ nœ œ. ‰ ˙ Œ ?
J
p cresc. f
1
œ. #>œ œ >œ œ >œ œ w2 3
¢
?
œ. œ. Œ Ó
p cresc. f

G (V): I II N 6
V4

124
° œ. œ. œ. œ fi
& . œ. œ. #œ. œ. œ œ œ nœ œ œ. œ. j ‰ œ œ nœ bœ ™ nœ
. . . œ. # œ. œ. œ. . œ. œ. œ. œ. œ. . œ. œ. œ. œ. œ. œ. œ. œ. # œ. œ. œ. œ. œ
p
™ œ
& Œ ˙ œ œ nœ œ ˙ Œ Ó b˙˙
˙™
> decresc. p

>™ j bœ. œ. œ. œ œ œ. œ. œ.
3
B Œ ˙ œ ‰ Œ ˙ ˙ œ Œ
3

#œ. œ. nœ. œ. . .
decresc. p
™
? Œ
>
#˙ ™ nœ ‰ Œ
˙ œ #œ œ œ ˙ œ nœ bœ nœ
J Œ
decresc. p
4 1
? . j #œ ‰ Œ œ 2 j j
3
#œ ‰ Œ
¢ œ Œ Ó #œ ‰ Œ J J ‰ Œ œ ‰ nœ ‰ #œj ‰ Œ J
decresc. Æp
5 o o7
3 /O 7 R ii

Beach.indd 56 4/4/2017 4:34:06 PM

 Example 2.12.—(concluded)

128
° œ œ œ 3œ#œ#œ 3nœ
œ œ nœ œ™ œ œ
3
œ œ œ™ œ œ™ œ œ œ #œ œ 3
& nœ œ
œ. œ. . œ. œ. # œ œ. œ. . œ. œ.
dolce .
nœ ™ œ
& ˙ #w j‰ œ œ œ
œ œ n œ̇ ™ w ˙™ œ œ œ
œJ w
œ. œ. . >
B œ œ. œ. œ. œ. œ œ. nœ. œ œ. œ œ œ. œ. œ œ œ. œ. œ. œ œ œ. œ. œ. œ œ œ. œ. œ. œ. nœœ Œ ˙
. . . œ. . . œ. . . œ. . . œ. .
œ
? 3 3
& œ œ œ#œ nœ Œ n˙
#œ œ œ œ™ œ œ nœ œ ™ œ œ œ œ ™ œ œ œ # œ œ >
dolce
4œ 5 6 1 Ÿ
? j #>˙
J ‰ Œ œ ‰ Œ œ Œ Ó w Œ #œ œ
¢ #œ
I 6
ii 5 6
V4 5 Varied repeat
3
132
° œ œ 3œ#œ 3nœ
bœ ™ œ œ #œ œ œ
& œ œ. œ œ œ. œ j‰ œ œ nœ œ™ œ œ nœ œ™ œ
œ. œ. . . œ. œ. # œ. . . œ. œ dolce

œ™ #œ#œ œJ
& ‰ Œ Ó œ
nb˙˙ ˙œ œ n œ̇ ™ ˙™
œJ w
.3 . œ. œ. .
nœ bœ œ. œ. œ œ. œ œ. œ. œ œ. œ. œ. œ. œ œ. nœ. œ œ. œ œ œ. œ. œ œ œ. œ. œ. œ
3
B œ #œ œ œ Œ
#œ. œ. . œ. . . . . œ. . . œ. . .
3 3
& ˙™ Œ bœ ™ œ œ
œ œ œ#œ #œ nœ
˙ œ œ œ œ œ™ œ œ nœ œ™ œ
dolce
2 3 Ÿ œ 4 Œ 5
? œJ ‰ Œ j #>˙
¢ œ ‰ nœj ‰ #œ Œ œœ œ Œ œ Œ Ó

136 Æ
° ˙ n˙ œ œœ j
& œ œ œ ‰

j
& ˙ #˙ œ œ nœ #œ œ ‰
˙
.
B œ œ œ. œ œ ˙ œ œœ œ j
œ ‰
. œ. . œ

& ˙ n˙ œ œ œ j‰
œ œ
6 _ 1
? w w j‰
¢ œ
fi
I

Beach.indd 57 4/4/2017 4:34:07 PM

 Example 2.13. Symphony in B Minor, D. 759 (I), piano reduction of mm. 57–93

œ #œ ™ œ œ ™™ œ #œ ™ œ œ œ œœ œ œ
57
# œ œ™ œ™ #œ œ œœ
&# œ œJ #œ ™ œ œ œJ #œ ™ œ œ
œ™ œ œœ œ #œJ ˙ œœ

{
decresc.
1 œ œ œj
j j 4 j 5
b œœ œ œœ œœj
œ œ œ œœ #œ2 œœ œœ 3 œœ #œ œœ œœ n œœ œ œœ œœ n
? ## ‰ œ œ ‰‰ œ ‰ œ ‰ œ ‰ œ œ
œ‰ œJ ‰ œJ ‰
J œ
J œJ ‰
G: I O V7 R ii V7

62
#
&# ∑ ˙™ Œ Œ ˙™ Œ Œ
nb˙˙ ™™ b ˙˙™™ b œœœ

{
˙™ nœ ˙™
1 ffz 1 2 fz 3 4
? ## ∑ n˙ ™ bœœ Œ Œ ˙™ Œ Œ
n˙ ™ œ ˙™ œ

b œ.
67
# n œ. b œœ. #b œœœ. n œœœ. œœœ “#”œ. œ. œ. b œœ œœ œœ œœ œœ b œœ œœ œœ
bœ #œ nœ bœ b# œœ#œœœ #œœ bœœ œ
&# b œ œœ bœœœ bbœœœ #œœœ œœ #œ J
œ œ œ bœ œ œ
J J J

{
b œœ œ. . .
.
fz fz fz fz fz fz fz fz fz fz
1 2 3 cresc. 4 5j œ œ œ œ œ6œ œ
? ## b˙ ™ b œ œ b œ œ œ b œ œ œ n œ J J J
b˙™ b œ. b œœ. œœ. bb œœ. œœ. œœ. bb œœ. œœ. œœ. n œ

# ˙˙ ™™ nœ ™ œ œ œ œ œ
73
n˙˙ ™™
& # ˙™ ˙ bœ ˙ ™

{
p
1 #n ˙
™ œ œ n ˙™ n ˙™
œ œ œ œ œ n œ™ n œ œ 3œ œ œ
2
? ## ™
Œ Œ

.
76 ˙˙ ™™ n œ. ™ œ. œ œ. œ. œ.
# œ™ nœ œ nœ œ œ ˙™ œ ™
nœ ™ œ œ
& # ˙™ œ œ œ

{
f
˙™ n œ̇ bœ
? ## n œ
4 1 2
#œ ™ œ œ œ œ œ œ
Œ Œ #œ. ™ œ. œ. œ œ. œ. œ
.

Beach.indd 58 4/4/2017 4:34:18 PM

 Example 2.13.—(concluded)
. .. . ™ . œ. . n œ. œ.
79 ˙™
## n ˙˙ ™™ œ. ™™n œ. œ œ. œ. œ. b# œœœœœœ œœ œœ œœ. ™™ œ œœ œ. n œ. œ. b œœœœœœ œœ œœ œœ ™œ œ
œœ ™nœ œ œ œ J œ œ œ œ œ œ œ™ œ œ œ nœ œ
& œ J œ™ œ œ nœ œ J J

{ 2œ œ œœ œœ 3
fz
˙ 4. œ
œ ™ œ bœ œ œ œ œ. œœ œœ œœ œ ™ œ bœ œ œ œ œ
3 4 1
? ## œ ™ œ œ œ nœ œ œ ˙ œœ œ œ œ
œ. ™ œ. œ. œ n œ. œ. œ œ. ™ œ. bœ. œ œ. œ. œJ J œ ™ œ bœ œ œ œJ œ. œ. œ
. . . . . œ. . . .

œœœ ˙˙˙ .
n œœœ ˙˙ œœ. ˙˙ .
n œœœ œœœ.
œœœ ˙˙˙ œœœ.
.
n œœœ ˙˙˙
nœœœ ‰ ˙˙˙
85
# œ‰ ˙ œ‰ ˙˙ œ œ ‰n˙˙
œ #œœ œ‰ ˙
&# J J J J J

{ ? ##
1
j fz
œ‰
œ ˙
2
j
˙ nœ ‰ ˙
n œ. ˙
fz 3

œ‰
j
œ. ˙
fz 4
œ œ
1 j fz
œ‰
˙ nnœœ œ œ œ ˙
. . .
2
˙ j‰ ˙
nœ
n œ. ˙
fz

# œœ. ˙˙ œ. . œœ.
91
# # œœ ˙˙ n œœœ n œœœ. œœœœœ œœ
&# J ‰ œ

{ ? ## œj ‰
3

œ.
fz

˙
˙
4

œ
œ.
œ
œ.
œ
œ.
6/1

œ
œ
j

Example 2.14. Quintet in C Major, D. 956 (II), B section, reduction of mm. 38–59
varied repetition interpolation
˙ ˙ œ
38
bb w w
w
w
w
w
w ẇ
˙ nn˙˙ œw ˙ w
w
w
w
w
w ẇ
˙ nn˙˙ #nwnw
46
w
w nn˙˙w #n ˙˙ b n ˙˙ n ˙˙
bœ ˙ œ
&b b

{ ? bb ˙
bb
c:
n˙
i O V6R
1 2

w
iv
3

¼II
˙
6
˙
4

˙™
6 5 4
V4 § 2
1

œ ˙ n˙
i6
2

w
3

˙ ˙
4

w
1

#w
2

nw
3

˙ ˙

expanded interpolation

nn˙˙˙™ #n œœ n#nœœœ nn#˙˙w ## ˙˙

50
#nwnw nn#˙˙˙ n# ˙˙ nn ˙˙ nn˙˙ ˙ ˙ 58
b b ẇ w n˙ œ ˙ œ ˙˙ b˙˙ ẇ
& b b ˙ nn˙˙
w ˙ nn˙˙ n#nw
w ˙ #˙
‘ w #˙w # ˙

{ ? bb b
b w
4

6 5
V4 3
1

#w n˙ ™
2

nœ #w
3 4

#˙ n˙
5

˙ ˙
6

˙ œ œ
7
‘
8

w
6 5
V4 3
nw
5

#œ #w
6 etc.

Beach.indd 59 4/4/2017 4:34:21 PM

 60 ❧ chapter two

the beat, syncopations (hemiola), etc. The A section is in the key of E major,
and the B section begins in F minor. The portion we are examining is the sec-
ond phrase, where the F-minor harmony remains an important focal point,
though now heard in the context of C minor. As shown in example 2.14, the
passage in question begins with a four-measure idea ending on the dominant
in the local key that is then repeated in varied form. This repetition is then fol-
lowed by an interpolation that pulls back again to the dominant in the fourth
measure, which is followed immediately by an expanded version of this inter-
polation. Schubert keeps returning to the dominant without ever resolving it.
This nonresolution of the dominant and stretching of the phrase add to the
sense of agitation and suspense. Finally in measure 58, Schubert breaks this
ever-expanding cycle, not to resolve the dominant, but to initiate a return to E
major and a varied statement of the A material.
Parenthetical insertions provide excellent opportunities for changes of
musical expression, ranging from repetition of an idea for the sake of empha-
sis to extensive digressions, even violent outbursts. The analogy to rhetoric is
clear. Let us consider briefly three of the examples discussed earlier in the
chapter from this perspective. What is the effect, for example, of the sudden
change of articulation beginning in measure 7 of the D-Minor Quartet? (See
ex. 2.7.) Not only is this a drastic change in musical expression, but it promises
to take us elsewhere (to a different key and a different affect). It is far too early
in the musical narrative to fulfill that promise, so Schubert repeats those four
measures in altered form to pull us back to D minor. The effect of the insertion
later in the same quartet (ex. 2.11) is different. It does more than prolong the
dominant; it provides the vehicle for an extended crescendo and a building of
tension leading back to the return of the opening dramatic gestures (ff).
Finally, consider the extended insertion from the first movement of the
Symphony in B Minor shown in example 2.13; it begins as an angry outburst
following a dramatic pause, avoiding completion of the tranquil second theme.
This passage is more than a violent interruption; it becomes an opportunity for
development—almost like a commentary in the form of a dialogue—on a frag-
ment of the theme. The initial sequential statements of the motivic fragment
are stated softly (mm. 73–76); the continuation is stated loudly (mm. 77–80)
as the passage builds to a climax leading to the cadential six-four in measure
85. Immediately upon arrival at this point, there is another change in surface
design and expressive character, a deceleration that allows some of the tension
to dissipate. Schubert repeats this four-measure idea, providing more time for
this process to unfold, before completing the motion to the tonic we expected
thirty-two measures earlier.

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 Chapter Three

Motive
Motive is a germinal idea that is repeated in the course of a musical composi-
tion. There are two basic types. First, there are those defined by their rhythmic
articulation and contour, as we hear, for example, in the opening measures
of the D-Minor Quartet. These ideas occur on the musical surface, by which I
mean as presented in the score and thus heard note-to-note. Second are those
defined primarily by their pitch or scale-degree succession. These motives may
occur at the musical surface, but also at deeper levels of the voice leading—not
note-to-note, but nevertheless identifiable. Probably the most common idea of
this second type is the neighbor-note motive that is articulated at or near the
musical surface but also over longer spans of time. We will encounter both
types in Schubert’s music.
I have organized the following presentation into four categories, and within
each category I will generally progress from simpler to more complex.

3^ vs. ♭3^ (and 6^ vs. ♭6)

^

There are various circumstances under which we encounter the interchange

between scale degree 3 and ♭3, ^
or 6^ and ♭6,
^
or both. For example, it is com-
mon in sonata-form movements in the minor mode to hear the second theme
in the recapitulation stated in the tonic major, as, for example, in the late quar-
tets in A minor and D minor. But in these circumstances there is not an imme-
diate juxtaposition of ♭3^ and 3,
^
though it should be noted that C♯ and A major
are features of the first theme area of the A-Minor Quartet. Even in this last
case I would not characterize this interchange of 3^ and ♭3^ as motivic. Examples
where 3^ and ♭3^ do occur in relatively close proximity can be found in some of
the shorter piano pieces, like the Impromptu in E-flat, D. 899, no. 2, and the
Trio of the Impromptu in A-flat, D. 935, no. 2 (see ex. 1.3). These are clear
examples of modal interchange, but not motivic repetition. What is required,
at least in my mind, for this interchange to achieve motivic status is that 3^ and

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 62 ❧ chapter three

♭3^ not only occur in close proximity but also be articulated in such a way that
we hear them as related. Consider, for example, the opening measures of the
first movement from the G-Major Quartet, which we examined earlier in a dif-
ferent context (modal mixture). See example 1.7. We hear the interchange
between 3^ and ♭3^ in measures 1 and 2, a very clear indication right from the
beginning that the interchange between major and minor are to become a sig-
nificant feature of what is to follow. We then hear the dyad E♭–D stated twice
in measures 11–12 and 13–14, followed by E♮–D in measures 15–16. Though
the dyads ♭6– ^ ^ ^ ^
5 and 6–5 receive different rhythmic articulations, we hear them
as motivically related.
A remarkable example—actually a series of examples—of the interchange
of 3^ and ♭3^ is found in the opening movement of the Quintet in C Major. I have
always heard the relationship between E and E♭ in this movement as motivic,
if for no other reason than the frequency with which Schubert pits one against
the other. A simplification of the introduction, measures 1–32, is presented in
example 3.1a, on which I have indicated—either between the staves or above
the system—occurrences of E and E♭ (mm. 1–6) as well as he use of E♭ as
the upper neighbor of D (mm. 8–9) and the return to E♮ via D♯ (mm. 18–19
and 29–30). Earlier, we speculated on the potential meaning of the implied
B-major chord in measures 24–25. Later, in theme 2, this chord becomes III♯
in the key of the dominant, but in this context we might consider it support for
D♯, at least an implied D♯, as resolution of the preceding Es. The numbers 1,
2, and 3 above the system designate the three phrases. Example 3.1b presents
a simplification of theme 1, where there is another statement of E–E♭–E in
measures 33–38 (corresponding to mm. 1–6) that leads to E–E♭–D in mea-
sures 48–49. Example 3.1c is a reduction of the second statement of theme 2
(violins) and the subsequent modulation to G major (V). In the first phrase,
E♭, now supported by ♭III, leads to D, supported by a G-major chord, locally
III♮, but a clear reference to the dominant of C. In the second phrase, E♭ is
suddenly changed to E♮ supported by a C-major chord, marked on the score
as the pivot in the modulation to the dominant; but like the earlier arrival
at the G-major chord in measures 85–86, this harmony, which is subsequently
tonicized, is also heard as a clear reference to the tonic. Though theme 2 is
ostensibly in the key of E-flat (♭III), these internal references undermine the
quasi-independence of the intermediary step between tonic and dominant.
In the course of completing the modulation, there is another articulation of
E–E♭–D. Example 3.1d presents the closing ideas as stated in the exposition,
where the B-major chord appears as III♯ in the key of the dominant. Here D♯
is acting as the chromatic upper neighbor of D♮, replacing E♭. At (e) are mea-
sures 414–29 from the coda, where once again we hear E moving through E♭
to D. At the cadence, E♮ finally progresses through D to C. At (f) I have pro-
vided the opening measures of the rondo theme that features E♭, which then

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 Example 3.1. Quintet in C Major, D. 956 (I)

Beach.indd 63
a.) Introduction, mm. 1 33 11
1. N œ w
w
w 2. N
w w w ˙ ˙ w Ó
& w w #w
w w ˙™ œ œ ˙ w w #˙˙ œœ Œ ˙™ bœ œ ˙ Œ ˙
w w w w w ˙™ n˙ ˙ ˙˙
E
w w wEb w E
nw D Eb
b˙™ D
w w bw w w ˙˙ ™™ ˙˙ ˙ w ˙™ œ w w w w w ˙
? Œ ˙ #˙ Œ w
w w
w #w
w nw
w w
w ˙˙˙ ™™™ Œ ˙˙˙ ˙˙˙
˙
7 8
{ 6 N 5 4
5 V4 3 , 3 6
I ii 6 ii
I ii

19 26 3. 33 Theme 1
D D# E E (D#) w œ ˙™ bw nw ˙
w w w #w ˙ ˙ ˙ ˙ ˙™ #œ w #w w ˙
Πw #w w #w
w w w ẇ #ẇ
˙
& ˙˙ ˙˙ # ˙˙ œœ ˙ w
D D# E w
5 G 6 H (#) ˙ ˙ w w ˙™ #œ œ ˙™ w ˙
? ˙ ˙ ˙˙™ œ Œ w w w w w
˙ ˙ w w w w w w w w w
extension
{ 6 V7 I
V7 I
33 b.) Theme 1, mm. 33 49 49
E
w bEb
w nEw w w w
w w w ˙ w #w w
w w ˙ œ ˙ w
#˙˙
#˙ w w w
w ˙˙ ˙ œ
œœ
œ b#œœ w
w
& w #w w ˙
E Eb D
? w w w w
b˙ ˙ w w w ˙ œ #œ ˙ nw
{ w w ˙ ˙ ˙
6 H 6 6 6 7 H
F 4 F 4 B
C 3 # 3 3
I O +6 V R ii V

c.) Theme 2, mm. 81 100 81 87

w
w ˙™
b˙™ ˙
nœœ œœ b œœ nœ œœ œœ bœœ œœ b˙™ œ œ bœ œ œ œ ˙ w ˙™ œ œ b œ nœ œ œ œ
& nœ œ bœœ nœœ œœ œ™ bœ œJ n˙˙ ™ œ œ w b˙ œ œ œ bœ œ n œ œ œ bœœ œ

E bEb
w w bw D bEb
w w
? ˙ w w
bw bw bw bbẇ w w bw bw
w
{ 6
V
5 6 § 6
V
( c: iv V )
Eb: I IV IIIz , I
I ¼III

4/4/2017 4:34:34 PM
Beach.indd 64
Example 3.1.—(concluded)
c.) cont.
92 100
bw
w bw
w bw
w n˙™
˙™ œœ œœ œ œœ w
w w
w b#ww ˙˙ œœ œœ #œœ w
& œ œ œœ œ
œ œ n˙˙ ˙œ™ œ œ œ œœ œœ œœ

E§ E§ Eb (D)
w
? bbw
w bbw
w bbẇ™ bœ w w w w ˙ w w
{ ˙ ˙ ˙ w
( C: I IV V7 I )
VIz 5 6
G: IV O oH
B R I6 IV V I
V

137 d.) Closing idea, mm. 137 41

& œœ ˙˙ œœ ##œœ ##˙˙ nn˙˙ œ̇

œœ # œœ œœ œ n œœ œœ œœ

? œ ˙ œ œ œ #œ œ w œ
˙ œ œ œ œ œ ˙ œ̇ œ œœ #œœ
{ œ ˙ œ
6 IIIx 7 6 5
4 #
G (V): I IV V I

e.) Coda, mm. 414 29

F bw n ˙˙ ˙ b˙ b˙ w w
w w w bw w bw n˙ b˙˙ n˙ b˙˙ ˙ #w
w nnw
w w
& w
w w #w
w w
w w w w w
w b#ww bw bw nw w w
E Eb D Eb E§ D C
w
? b˙ ˙ b˙
w w bw w b˙ ∫˙ b˙ bw bw w w
w w ! Y H
{ 4 § V V B 6 5
3 3 E V 4 3 I
I

f.) Finale (allegretto)

œ ˙ œ œ bœ œ bœ œ œ œ œ œ œ
&C œ œ œ œ

?C ˙ œ ˙ œ
{ œ œ œ œ
V reaches I in m. 19

4/4/2017 4:34:38 PM
 motive ❧ 65

becomes E♮ in measure 19 at the arrival at the tonic. All of these statements

of E, E♭ or D♯, and E are in close proximity, but I would be remiss if I didn’t
point to their representation at a much deeper level of structure correspond-
ing to the three themes of the exposition: E/I–E♭/♭III–D/V.

^ ^ ^ ^ ^ ^
The Neighbor-Note Motive 5–6–5 (5–♭6–5)

The neighbor-note figure, particularly the decoration of scale degree 5^ by its

upper neighbor, is very common in tonal music, but there are clear examples
where composers, including Schubert, have stressed it in specific works to the
extent that it achieves the status of a motive. We will examine three such works
here, beginning with a relatively simple example taken from the first move-
ment of the Symphony in B Minor (see ex. 3.2). At (a) is a simplification of the
lead-in to the first theme, where the neighbor-note figure F♯–G–F♯ is articu-
lated on the downbeats of successive measures. The first theme then enters
on F♯ an octave higher on the downbeat of measure 13.1 The excerpt at (b)
shows the final two measures of the initial statement of the first theme (horns
and bassoons), where F♯ is emphasized by its incomplete upper neighbor.
This extension of the phrase—the eighth and ninth measures—is required to
return from III to the tonic key. The answering phrase then begins again from
the F♯ an octave higher. At (c) is a simplification of the second phrase from
the second statement of theme 2. Here the neighbor-note motive (N) is trans-
posed up a half step (1^ in the key of G major, itself the upper neighbor of F♯),
and it is expanded. In this instance, the motion to the neighbor note is empha-
sized by the introduction of the chromatic passing tone G♯, harmonized by the
dominant of ii. The extensive parenthetical delay of the cadence, which we dis-
cussed earlier (see ex. 2.13) and is represented here by the empty parentheses,
makes extensive use of the rhythmic figure/motive in measure 59.
^ ^ ^ ^ ^ ^
The neighbor-note figure 5– 6–5 and its modal inflection 5–♭ 6– 5 play an
important role in the first movement of the Piano Trio in B-flat. The first twelve
measures of this movement are represented with annotations in example
3.3a. Here the neighbor-note pattern is represented at two levels, first in the
melodic figuration of measures 2–3, but then separated by several measures:
F5 (mm. 2–3)–G5 (mm. 7–8)–F5 (m. 12). The return to F may not be immedi-
ately apparent, because the melodic line reaches up to D6 (the primary tone of
the movement) and then descends to B♭5 before returning to F5 and the figu-
ration of measures 2–3. The decoration of scale degree 5, now by ♭6, ^
returns
at the close of the exposition in the bass, which I have marked as motive x in
example 3.3b. The bass motion F–G♭–F supports the harmonic progression V–
Italian 6th–V in the original key, which is significant at this juncture in the com-
position, since it returns the F-major harmony from the status of local tonic to

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 66 ❧ chapter three

Example 3.2. Symphony in B Minor, D. 759 (I)

a.) mm. 9 -11 b.) mm. 20 -22

## œj ‰
N IN Ob.
# j ˙
œ˙ ™ œj
Cl.
& # œ #œ œ œ nœ œ œ œ œ #œ œ œ

~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~
œ & œJ œ̇ ™ ˙

{
Hn.
pp
? ## œ ? ## œ ‰ #˙˙
Bsn.
˙˙ ™™
‰ œœœ œ ‰ œœ œ
œ J œ Œ Œ ‰ œœœ œ
9 8
b: i III V7 i
#

c.) mm. 57 - 61...93

93
N
j
# œ ™ œ #œ ™ œ œ™ œ #œ ™ œ œ œ œ œ œ œ ™ #œ œ œ œ œ œ
&# œ J J J

{
Vn.

? ## œ Œ Œ œ Œ Œ œ Œ Œ œ
Œ Œ œ Œ Œ œ
G (VI): I O VR ii V I

dominant for either the repeat of the exposition or the beginning of the
development in the tonic minor. This motive x then plays an important role
in the return to the tonic following the development section, as indicated in
example 3.3c, my interpretation of these measures. Here I must apologize to
my readers, since I have tried to avoid too many Schenkerian graphs in the
first part of this study, but I cannot find a better way to represent my view of
this material. The return of the dominant at measure 175 coincides with the
return of motive x and the decoration of V by the augmented sixth chord,
so we clearly hear this F chord as the dominant. This is followed by a return
of the opening theme in the key of G-flat major (♭VI), which initiates state-
ments of this idea at different pitch levels, alternating between violin and
cello. These statements lead back to the dominant and then finally to a state-
ment of the main theme in the tonic key by the piano at measure 211. The
first theme had been stated twice in the exposition, first by the piano and
then by the violin. Reversing this order—that is, saving the piano statement
for the return to tonic—reinforces our hearing of this second statement as
the real return. Furthermore, statements of the first theme at different tonal
levels reinforce our hearing of the return at measure 187 (♭VI) as a false
recapitulation. As shown at both levels of my graph, I interpret this passage
as a gigantic enlargement of motive x (the neighbor-note pattern F–G♭–F)
both in the bass and in the uppermost voice.

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 Example 3.3. Piano Trio in B-flat Major, D. 898 (I)
a.) mm. 1 12
. .
œ œ œ œ. œ œ .
Allegro moderato N
° b ™ >˙ ™ œ œ œ >œ œ œ œ >œ œ œ œ ˙
Violino &b c ˙ œœœ œ œ. œ Œ Ó
3 3 3
f >˙™
3
œ œ œ >œ œ œ œ >œ œ œ . .
œœœ œ. n œ œ
? bc ˙™ œ ˙™
Œ œ nœ œ
œ Œ
Violoncello
¢ b 3 3 3 3
œœ . .
f f

œœ œœ œœ œœ œœ œœ œœ œœ ˙˙
Allegro moderato
˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ œœœ
? bc œœ œœ œœ œœ œœ œœ œœ œœ ˙˙ ˙ ˙ ˙ ˙ œ Œ Œ
œœ Œ
œ
b æ æ æ æ æ &
œœœ

{
f
Pianoforte 1 2 3 4 5
? bc Œ Œ Œ œ™ œ œ Œ Œ œ™ œ œ œ Œ Œ œ Œ
b œ ˙™ œ œ
œ™ œ œ™ œ œ œ™ œ œ œ ˙™ œ
Bb: I V7

N
K Ÿ~~~~ œ™
œœ œ œ ˙ œ . œ.
6
° bb ˙™ >
˙™ œ œb œ >œ œ œb œ >œ œ œ œ ˙ œ™ œ œ œ œ™ œœ> œ. >œ . >œ œ.
nœ œ œ J J œ œœ œ
&
3 3 3 3 p 3 3
3
>˙ ™ ~~~~ .
?b ˙™ nœ œb œ œ b œ >œ œ œb œ >œ œ œ œ œ ™ œ ˙
B œ œ œ™ œ œ œ œ œ™ œ. Ÿœ œ™ œ. œ Œ Ó
¢ b 3
3 3
J
3 p

b æ æ æ æ æ æ æ œœ ™™ œœ
& b œœ œœ œœ œœ ˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ b˙˙ ˙˙ n˙˙ œœ œœ œ œ œœ œœ œœœ œœ œœœ œœœ œœœœœœ œœœ Œ Œ œ™ œ
œ œ œœ œœ œ œ œ

{
œœ œœ œœ œœ ˙ ˙ ˙ ˙ ˙ b ˙˙ ˙˙ n ˙˙
p
1 2 3 4 Ÿ 5 6 1 pœ ™ œ œœ
?bŒ Œ œ™ œ œ Œ Œ œ™ œ œ œ œ™ œ j
b œŒ b˙ œ‰
œ™ œ œ™ œ œ œ™ œ œ œ œ #œ nœ œ œ™ œ nœ œ
b˙ b˙ œœ œ n œ.
V 6
vi ii 5 67
V4 3
ii V I

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 Example 3.3.—(continued)
b.) mm. 100 11
° bb 1 j j j
& ∑ ‰ œ œ œ œ ‰ nœ j ‰ œ œ œ œ ‰ œ œ œ
œ œ œ œ œ œœ œœ œœ œ œ œ œ œ œ n œœ œ
pp

1 N
? bb ∑ ˙ œ b˙ œ ˙ ˙
¢ œ bœ œ œ
pp fp ˙
X
1 2 3 œ œ œ nœ œ
b
&b ∑ ∑ ∑ Œ ∑

{
pp
1 œ œ
? bb ∑ ∑ ∑ & ˙ œ œ nœ œ œ œ >œ™™ ≈?

V +6 V [V]

18 œ œ œ nœ œ
° bb Œ Ó ∑ Œ
& œ
œ pp

?b Œ Ó ∑ ˙ œ œ nœ œ
¢ b œ &
pp
1 2 3
bœ j j j
&b J œ œ œ œ ‰ n œœ œœ œœ œœ
‰
œœœ œœœ œœœ œœœ

{
œ œ œ œ
X
?b
b ˙ œ b˙ œ ˙
œ fp bœ œ œ
V +6 V

r œ œ
œ œ >œ ™™
œ
21 >œ
° bb nœ 3 >˙™
Œ b˙ ™ œœœ > >œ >œ ™™
& R ˙™ nœ œ œ œ
3
cresc.

b œ œ œ œ >œ™™
r b >˙ ™ > œœœœ
r ˙™ nœ œ nœ ? ˙ œnœ ™™
¢& b œ nœ œ Œ Ó Œ
3 3 3
cresc.

4
b j j j j ‰ j ‰ j‰ j ™™
& b ‰ œœ œœ ‰ n œœ œœ ‰ œœ œœ œœ œœ ‰ n œœ œœ œœ
œœœ bœœœ œœœ œœœ œœœ n œœœ œœœ œœœ
œ œœœœ

{
œ œ œ œ œ œ œ œ œ œ œ
cresc.
1 2 3 4
? bb ™™
˙ œ b˙ œ n˙ œ bœ nœ
˙ ˙ œ > bœ > nœ > b >œ > nœ
V I/i

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 motive ❧ 69

Example 3.3.—(concluded)
c.) Middleground voice leading of mm. 175 -211

Thematic Tonal
return return

175 187 192 198 203 211

N
j N
j
b œ nœ œ bbœœ bœ bœœ bœœ bœœ bœ bœ œ œ bbœœ bœ œ
&b œ œ œ œ b œ œ b œœ b œœ bœœœ nœœ œœ œ nnœœ nœ œ
nœ œ nœ

{?b
b ˙ bœ œ
Y
X
P N
B
Vn.

bœ
J
Vc. Vn.

bœ bœ bœ
Vc.
bœ œ nœ œ
œ
7
Pf.

˙
=

˙
5
œ bœJ œ
N N
˙

¼VI V I
V X I

A further example of the expansion of (5)–♭6–5 occurs in the first move-

ment of the Piano Sonata in B-flat, D. 960, the first phrase of which is repro-
duced in example 3.4a. The important motive, the G♭–F, is introduced in the
bass at the end of the phrase. Though stated pianissimo, this idea is marked by
its extreme register and its unexpected appearance. This phrase begins with a
feeling of metric regularity (quadruple hypermeter), but the end of the phrase
is temporarily off-balance. The dominant, the goal of the phrase, arrives sooner
than expected (in the middle of m. 7), and then the dominant is extended by
a measure to accommodate this unexpected utterance. Once stated, there can
be little doubt that this idea will influence succeeding events. An outline of
the ternary design of the first theme area is given at b) in example 3.4. The a
section is closed in B-flat (I), and the entire b section unfolds over a G♭ pedal
(♭VI), which near the end supports an augmented sixth chord. The aʹ section
opens with a statement of the original idea over a cadential six-four on F, which
then returns to the tonic via the five-three. In short, the overall tonal motion
of this first theme area is controlled by an enlargement of this motivic idea:
B♭–G♭–F (leading back to B♭). As indicated at c) in our example this idea
then occurs over the course of the entire exposition: B♭ (theme 1)–F♯ minor/
enharmonic equivalent of G♭ minor (theme 2)–F (theme 3).

Motto and Motto Theme

There are certain motives that are so pervasive or so integral to a musical work
that they function as mottos. A simple example is heard at the very opening

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 70 ❧ chapter three

Example 3.4a. Piano Sonata in B-flat Major, D. 960 (I), mm. 1–9
a.) mm. 1 9
Molto moderato

b œœ œœ œœ œœ ˙™ œ œœ œœ œ œ œœ œœ ˙œ ™ œ œ œ ˙˙ ™™ œœ œœ
& b c œœ ˙˙ ™™ œœ œ œ œœ œœ œ ˙™ œ œ ˙™ œœ

{
œ œ œ œ œ œ
pp legato 1 2 3 4 1
? b c œ œ œ œ œ œ œ œ œ œ nœ œœœ œœ bœ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ˙ ™œœœ œœ œ œ
b œ œ œ œ œ ˙™ œ œ œ œ œ ˙™ œ ˙™ œ

bœ œœ ˙˙ j
& b œœ œœ œœ œœœ œœ œœ ˙˙
w
w
w œœœ ‰

{
œ œ œ w œ
2 3 pp 4
? bb œœ œ œ œ œ œ œ œ Ÿ
œœœœ Œ j‰
œ œ œ ˙ œ
œ bœ œ w œœ œ.

b.) First-level expansion of neighbor-note motive (theme 1)

a (1–18) b (19–35) aʹ (36– )

B♭ G♭ F–B♭
I ♭VI – +56 V–I

c.) Second-level expansion (exposition)

theme 1 theme 2 theme 3

B♭ f♯ F
I ♭vi V

of the Quartet in A Minor, the first phrase of which is represented by the sim-
plified reduction in example 3.5a. There is nothing remarkable about the
descending arpeggiation of the A-minor triad, E5–C5–A4, but this simple idea
is fundamental to this movement. Like many works by Schubert and others,
all one needs to hear to identify this piece are the opening three notes. I have
identified the components of this opening phrase because of the way in which
Schubert subsequently treats those I have labeled x and y in reverse order in

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 motive ❧ 71

the imitative passage from the development, which is reproduced in the simpli-
fied reduction at (b) in example 3.5. The point is this: Schubert has treated
the components of this opening phrase as motives—not just the motto, but the
other melodic fragments, as well.
The opening phrase of the Symphony in B Minor is a special case. It is a
complete eight-measure idea that precedes the first theme, yet recurs through-
out the entire movement, and for this reason it has occurred to me that it
is best described as a “motto theme.” It provides the material for the entire
development section and the coda both in full statements and in imitative pas-
sages based on fragments derived from the opening gesture, the rising third.
The motto theme, with the opening third marked by a bracket, is provided in
example 3.6a. Two fragments derived from the opening third, transposed to
the subdominant (as they appear in the development) are reproduced at (b)
and (c). The rising third is one of several features shared by the two move-
ments of this symphony, despite their very different characters.2 The motto of
the second movement, as originally stated by the horns and bassoons, is given
in example 3.7a.3 This idea plays an important role in the first theme area, but,
as shown at (b), it is also sounded at the same pitch level—now harmonized in
the key of C-sharp minor (vi)—as the top sounding line in the opening mea-
sures of the second theme.

Example 3.5. Quartet in A Minor, D. 804 (I)

a.) mm. 3 -10

Motto
X Y
˙™ œ ˙™ Œ
& ˙ Œ œ ˙ œ œ œ œ œ œ œ ‰ Œ œ ˙ ™ #œ ˙™ œ ˙ #˙

{
accomp.
pp
h™ qqqq
?
w w w w w w w w
#
6 iv 6 H #
4
a: i V¾

b.) mm. 118 -25

X
Y Y
bœ œ œ bœ
œ b˙™ œ b˙ œ
Vn. I
bœ œ œ ˙™ œœ ˙™
& ‰Ó ∑ Ó Œœ ‰Œ œ

{ ? Vc.

˙
Œ ™
œ ˙ nœ
Y

b˙ ™ bœ
X

‰Œ
œ b˙ œ œ œ bœ œ œ œ ˙ ™
Y

œ b˙ ™
X

œ b˙

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 72 ❧ chapter three

Example 3.6. Symphony in B Minor, D. 759 (I)

a.) Motto theme, mm. 1 - 8 b.) mm. 122 -25

# ## g ˙™ ˙ œh ˙™ # ˙ ™
&# &

{ pp c.) mm. 176 -79

g h g œh ™ ™
? ## ™ ˙ œ ™ ?#
# ˙™ ˙ ˙ ˙
˙ ˙ œ œœ
˙ œ ˙™ ˙™ ˙™
b: i V

Example 3.7. Symphony in B Minor, D. 759 (II)

a.) mm. 1 -2 b.) mm. 66 -70

g h
g h
## #### Ϫ Cl.
œ™ œ™ œ ™™ œ œ
& # # œ™ œ™ œœ ™™ & J

{
Hn. Ϫ Ϫ
Ϫ Ϫ
? #### Ϫ ####
Bsn.
Ϫ Ϫ Ϫ
œ™ œ™ & œœœ ™™ œœœ ™™ œœ™™ œœ™™ œœœ ™™
™ ™ # œ ™ œ™ ™
c# (vi) : i 6
V5 i

Motivic (and Thematic) Transformation

The beginning of the D-Minor Quartet is interesting from several perspectives,

foremost of which is its tremendous power. From the perspective of motive, the
entire first theme area and following transition are permeated by the opening
rhythmic figure, shown in the initial staff in example 3.8a. We have already
observed that this opening phrase is expanded internally, as was demonstrated
in the previous chapter (ex. 2.7). This is followed by a pair of five-bar phrases,
where the lower voices continue the rhythmic motive while the violins state a
contrapuntal countermelody, shown in measures 15–17. This is followed by an
eight-bar phrase that is expanded internally by a nine-measure insertion avoid-
ing the cadence, as was also demonstrated in the previous chapter (ex. 2.11).
Though I would characterize this phrase as contrasting in relation to the pre-
ceding phrases, it, too, is based on the rhythmic motive, as shown in measures

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 motive ❧ 73

18–20 in our example. In terms of form and phrase structure, I would out-
line this opening section as follows: Introductory phrase (mm. 1–14)–a (mm.
15–19)–aʹ (mm. 20–24)–b (mm. 25–40). As noted, both the introductory
phrase and b are expanded internally. All, even the one I have labeled b, are
permeated by a single rhythmic motive. The “b” phrase leads to a varied rep-
etition of the opening measures, which becomes the transition to the second
theme. While still utilizing the original rhythmic figure in this transitional pas-
sage, as demonstrated in example 3.8b, Schubert changes the character of the
narrative in preparation for theme 2. This second idea and the closing theme
are reproduced at (c) and (d), respectively. Though different in some respects,
it is clear that the two are related rhythmically, particularly in their opening
gestures. The second is a transformation of the first.
The situation is somewhat different in the first movement of the Piano Trio
in E-flat, where it is the motive itself that undergoes transformation. The origi-
nal statement of this idea, given in example 3.9a, is stated by the cello in mea-
sures 16–18. The basic components of the idea are the lower-neighbor-note
figure followed by an ascending third. Later in the exposition, in the transi-
tion to theme 3, this idea reappears, this time altered, as shown in example
3.9b. What is not shown is the ensuing sequential treatment of this idea in the
form of a dialogue between piano and strings. Finally, a further transforma-
tion of this idea is stated by the violin as the opening gesture of the closing
theme, shown in example 3.9c. Then, in the development, we encounter yet
another transformation, shown at (d). Here the piano introduces the phrase
with an abbreviated statement featuring only the lower-neighbor-note figure,
reminiscent of the earlier-heard figure introducing the transition to theme 3,
beginning in measure 99. In measure 204 the violin states a transposition of
the opening gesture of the closing idea (mm. 140–43) followed by a differ-
ent answering idea. The difference between the closing idea (mm. 140–48)
and this phrase in the development (mm. 204–11) is that the former is cir-
cular—that is, it ascends to 3^ in the local key and then descends by step back
^
to 1, while the latter ascends to 3^ over the course of the entire phrase while
the harmony modulates from i to III in the local key. Again we see and hear a
simple motivic idea being utilized by Schubert to create a sense of unity among
diverse portions of the movement.
The matter of compositional unity is nowhere more apparent than in the
opening movement of the “Trout” Quintet, where there are clear connections
among the melodic ideas. In example 3.10 I have provided excerpts from
this movement with added analytical notations. The opening idea, which fol-
lows a two-measure lead-in as shown at (a), is an elaboration of the tonic triad
(E4–A4–C♯5) over a tonic pedal. The E4 is elaborated by its chromatic lower
neighbor before the leap to A4; I have marked these four notes with a bracket
because this idea is repeated later. The last note in the ascending arpeggiation,

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 Example 3.8. Quartet in D Minor, D. 810 (I)
a.) First theme area

˙™ œ. œ. œ. œ
3
&b c Œ Ó ˙™ œ. œ. œ œ
ff
.
h 3
g h g
15

& b ˙˙™ ˙ #œ œ̇ ™ ˙ #œ n#œ̇ ˙

p
œ n œ œ œ b˙
Q QQQ Q Π3
etc.
h 3
g
18
3
˙˙
& b #œ̇ nœ #œ œ n˙˙˙ œ œ œ œ
#œ nœ œ œ œ œ ˙
3

œ œ œ œ œ œ œ
25
œ œ. œ. ˙ œ œ œ. œ. ˙ œ
&b œ
p 3 3 3 3

b.) TransitLon to second theme

52
œ œ. œ. œ. œ œ œ œ. œ. œ. œ œ œ
&b
pp 3 3

c.) Second theme

61
j
&b Ó Œ ‰ œJ n>œ œ œ™ bœ œ™ œ #œ œ œ™ nœ ˙ œ. œ. œ. œ™ œ œ œ œ œ œ
>
pp

d.) Closing idea

114
œ™ œ œ™ œ œ œ œ™ . œ™
&b Ó Œ ‰ œJ œ œ J #œ nœ œ œ #œ ™ œ ˙
J .
f ff p pp

j
& b œ nœ œ œ ˙ #˙ œ
ff

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 Example 3.9. Piano Trio in E-flat Major, D. 929 (I), motivic transformation
a.) Original statement of motive
16 g œ h
? b 43 œ nœ œ œ œ. œ. œ. œ. Œ
Vc. bb
p

b.) Transition to theme 3

?b g jh
99 etc.
Pf. bb œ nœ œ œ nœ ‰
œ. n œ. œ. œ nœ
p

c.) Closing idea

140 g h
b ##
Vn. &b b ˙™ n˙ œ ˙ ™ ˙™ ˙™ œ œ nœ nœ œ™
œ ˙ œ œ œJ œ

d.) Development

202 g h
#
#˙ œ n˙˙ ™™ œœ œ œ ˙™
Vn.
&# ˙™ œ Œ Œœ ˙™
œ
œ œ ˙™
Œ Œ #˙ ™ œ

{ ? ## g ™
˙
Pf. ˙ ™ #˙ œ œ
h
œ
Vc.
œ œ
œ
œ
#˙ œ œ Œ Œ œ Œ Œ œ Œ Œ œ Œ Œ œ Œ Œ œ Œ Œ œ Œ Œ Œ
œ
7 8
S 3

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 Example 3.10. “Trout” Quintet D. 667 (I)

Beach.indd 76
a.) Introduction, mm. 3 - 6 b.) Theme 1, mm. 27 - 33 N
IN
3 g h > 27 œ œ œ ˙ œ œ œ ˙ œ
## ## g˙ #˙ ˙ h œ g˙ ˙ ˙ h
&# ˙ œœ ˙ œ œ ˙ œ Œ & # Œ ∑ Œ
˙ #˙ ˙ w ˙™

#˙ w ˙ œ œ ˙ œ Œ
? ### ˙
w w w w
? ###
w w w w w
{ w w

c.) Theme 2 (recapitulation)

Vn.
249 œ Ÿ
## œ #˙ ˙ ™™ œ œ œ œ œ 269
&# œ Œ Ó ˙ ™™ #œ œ Ó n˙ œ œ œ œ ˙ J ‰ #˙ Œ œ

Vc.
œ œ œ̇ ˙ œ̇ ˙ ˙ ˙ œœ œ n˙ œœ œj ‰ œ ™ œ œ œœ
? ### ˙™ œœ œ œ œ œ Œ
∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏

{ œ Œ Œ Œ œ Œ œ̇ Œ Œ Œ œ Œ œ Œ Œ Œ #œ Œ Œ œ Œ œ

A: I 6 V4 3 I 6 V4 3 I 6 o
IV5 6 O 7 R V V I
O V7 R

d.) Theme 3 (recapitulation)

270 œ œ .
## œ œ œ Œ œ Œ nœ ™ œ œ ™ œ œ œ œ œ ˙ œ ™ nœ œ ™ œ ˙
œ œ #Ÿ˙~~ œ. ™ œ. œ ™ œ. œ >œ œ. ™ œ. œ. ™ œ. œ
&# Ó œ. œ. œ œ ™ œ œ ™ œœ #œ œ œœ œœ œ ˙ œ™ nœ œ™ œ ˙ #˙ œ™ œ œ™ œ œ œ œ ™ œ œ ™ œ œ
œ ™ œ œ ™ #œ œ . . nœ ™ œ œ ™ œ œ œ œ œ
? ### ˙ ˙ ˙ n˙ ˙ #˙ œ #œ ˙ œ
{ ˙ ˙ œ œ œ œ ˙ ˙ œ œ œ œ ˙ ˙
6 4 6 4 6 7 6 6 7
3 3 T T
I IV V7 I

e.) Development,
) p mm., 149 -56
N
149 K
### nœ nœ ˙ n˙ ˙™ œ #˙ ˙
& n˙ ˙ n˙ Œ n˙ b˙ n˙ Œ n˙ n˙
h g h g
w w
w nw
? ### nw w w
w w
w w
nw˙ ˙ nw w n˙ẇ w
6 6 7 8
{ R 4 3

4/4/2017 4:35:24 PM
 motive ❧ 77

C♯5, is then introduced by its incomplete upper neighbor, which is extended

by a descending-third progression. Arrival at C♯5 is further delayed by its lower
appoggiatura, a feature that is common to all melodic statements discussed
here. The relationship to the following first theme is evident. It opens with
the elaboration of E5 by its chromatic lower neighbor before the leap up to
C♯6, which is extended to its lower third A5, which subsequently resolves to
G♯5 over the dominant. The answering gesture decorates the E5 by its upper
neighbor this time before leaping up to D6, which is extended by a descent of
a third before resolving to C♯6, once again momentarily displaced by its lower
appoggiatura. In this initial statement of the first theme, C♯6 is prolonged by
its upper neighbor, as indicated by my added notation.
The second theme consists of an antecedent phrase (eight measures
extended by three) and a consequent of ten measures in the minor mode
(until the final cadence). The portion shown is the main portion of anteced-
ent phrase, which ends on the dominant, to which I have added the final mea-
sure of the consequent phase (m. 269). The overall progression of the top part
is an ascending fourth: E5 (m. 250)–F♯5 (m. 254)–G♯5 (mm. 255–56)–A5 (m.
269). The initiating note of this extended melodic progression, E5, is initially
prolonged by a descending third to C♯5, as shown by my slur. This C♯5 is also
approached from below. The relationship of this theme to what follows imme-
diately thereafter, theme 3 (piano), is also evident. Here E5 is prolonged by
two descents through D5 to C♯5 before ascending through F♯5 (m. 275) and
G♯5 (mm. 277–78) to A5 (m. 279). Furthermore, the harmonies supporting
this linear ascent are the same as those in theme 2.
The initial phrase of the development section, shown at (e), mimics
the opening of the movement, now in the foreign key of C major (♭III).
Decoration of the inner-voice tone G♮, first by its lower and then by its upper
neighbors, recalls theme 1, while the top-sounding part ascends by step from
C5 to E5, 3^ in the local key. This E5 is then prolonged by its upper neighbor in
another clear reference to the opening idea and to the following first theme.
We have observed a wide variety of ways in which motives are manipulated
and thematic ideas related in a select number of Schubert’s late instrumental
works. Normally I would not consider the interaction of scale degrees 3 and 6
with their modal counterparts to be any more than a matter of modal inter-
change, but the way Schubert has manipulated E vs. E♭/D♯ in the first move-
ment of the C-Major Quintet elevates this interchange to motivic status. It is a
central feature of this remarkable movement. We have also observed instances
of motivic connections between different thematic ideas within the same
movement. Outstanding in this respect are the relationships among thematic
ideas in the first movement of the “Trout” Quintet. There is also the inter-
esting motivic parallel between the motto from the second movement of the
B-Minor Symphony, the rising third E–F♯–G♯, and the second theme (refer

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 78 ❧ chapter three

back to example 3.7). Also of particular interest to me are instances where

an idea is expanded later in a movement. We have observed two instances of
this. First, consider the neighbor-note pattern F–G♭–F, which appears near the
end of the exposition of the first movement from the Piano Trio in B-flat. It
appears later in greatly expanded form, where the middle member (G♭) rep-
resents the false recapitulation. If my interpretation of this passage is valid,
the return of the opening idea in G-flat major has its genesis in the gigantic
expansion of this motivic pattern. Here refer to example 3.3. This relationship,
G♭–F, is expanded even further following its introduction at the end of the
initial phrase of the first movement from the Piano Sonata in B-flat. It seems
quite clear that this idea is expanded to incorporate not only all of the first
theme area but also the entire exposition. Finally I would like to return for a
moment to the initial statement of the second theme from the first movement
of the G-Major Quartet. We have observed how the bass line of this theme pro-
gresses from F♯ to E, stalls, then returns to F♯ before successfully completing
the descent to D. As the phrase approaches the cadence, violin 1 mimics this
F♯–E, F♯–E–D motion. In this instance, the pitch motive is not expanded, but
appears in contracted form embedded within the larger statement.4

❧ ❧ ❧

It is interesting to speculate about Schubert’s treatment of motive in relation to

that of, say, Mozart and Beethoven. I think there is very little difference, except
possibly that the music of Mozart and Beethoven is richer in what Schenker
has referred to as motivic parallelisms, particularly motivic expansion.
Nevertheless, there is clear evidence of this type of relationship in Schubert’s
music. The expansion of the G♭–F motive into increasingly deeper levels of
the design and structure of the first movement of the late B-flat Sonata is
probably the most obvious example of this type of relationship, obvious to the
extent that it appears to be a product of compositional planning, though we
cannot say for sure. There are also instances where the motivic expansion has
become part of a deeper level of the voice-leading structure, what is referred
to as “hidden repetitions” of the sort we do find in the music of Mozart and
Beethoven. One such instance of this is the expansion of the neighbor-note
motive (motive x) in the development of the first movement of the B-flat Piano
Trio. And, as we have seen, the opening of the G-Major Quartet is a treasure
trove of hidden parallelisms.
It is also interesting to consider whether Schubert’s treatment of motive
as described here is a hallmark of his late style. I will say (though somewhat
tentatively, since I have not studied the earlier music in such depth) that it
is. And it would appear that the very last works are the richest in motivic
relationships.

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 Chapter Four

Sonata Form
The first part of this chapter presents an account of Schubert’s various strategies
in dealing with sonata form. I have identified five types: (1) variants of the classi-
cal model; (2) the three key/three theme exposition; (3) transposition schemes;
(4) hybrid solutions: and (5) a single unifying progression. This presentation is
followed by sections dealing with characteristics of first themes and the transi-
tion to the second key area, then with characteristics of development sections.

Formal/Tonal Strategies

Categorizing Schubert’s sonata forms presents an interesting challenge, due

to the great variety in his treatment of this formal type. I think a logical point
of departure for this investigation is the application of classical procedures for
sonata form, though I am fully aware of the potential danger in reducing a
rich variety of schemes to a simplistic prototype. There is no single “model.”
Nevertheless, I think we can agree on certain basic principles, as follows. The
exposition of a classical sonata movement normally consists of two tonal areas:
(1) the tonic; and (2) either the mediant, if the tonic key is minor, or the
dominant, if the tonic key is major. Frequently, but not always, each tonal area
is associated with its own theme, and the two tonal/thematic areas are con-
nected by a transitional passage, most frequently based in some way on the first
theme. The development section of a sonata movement in the major mode
digresses from the established dominant, but then returns to it in preparation
for the return to the tonic and opening theme. In a minor-mode movement,
the development section connects the mediant to the dominant in prepara-
tion for the return. In both cases, the typical recapitulation begins with a dou-
ble return, that is, a return to the tonic and to the opening material. Both
themes, assuming there are two, are then stated in the tonic. These two “mod-
els” are, of course, subject to a wide variety of alterations and additions; these
are just the bare bones. In table 4.1, I have outlined these two basic models

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 80 ❧ chapter four

Table 4.1. Classical models of sonata form

Exposi- Develop- Recapitu-

tion ment lation
Themes 1 trans. 2 1 trans. 2
Major key I V :|| ( V7) I V I
Minor key i III :|| ( V7) i V I

for reference in the following discussions. Arabic numbers represent themes,

while roman numerals represent keys; development sections are represented
by empty parentheses (except for V7 representing the retransition). The fol-
lowing description of Schubert’s sonata-form strategies is divided into five
types, beginning with variants of classical models.

Type 1: Variants of the Classical Models

Probably the most traditional movement among Schubert’s late instrumental

works with respect to formal design is the beautiful first movement of the
Quartet in A Minor, D. 804. The exposition consists of two themes, the first
in A minor and the second in C major (III). The first theme, which is closed
in the minor mode following an excursion in the parallel major mode, leads
to a transition—based on the opening motive—that leads to the dominant
in the new key. The second theme is also closed. It consists of two statements
separated by a sequential passage based on a fragment of the theme. Closure
of the second statement is delayed by a digression in ♭VI of the local key,
a favorite Schubertian device. The development section, which is based on
theme 1, takes a common path from III through iv on the way to the domi-
nant. Though Schubert strays temporarily from this path, he returns to it via
the diminished seventh chord in measure 140, a substitute for the subdomi-
nant, which leads us to the dominant and the retransition. The recapitula-
tion then follows the expected path, with theme 1 in A minor and (following
a slightly revised transition) theme 2 in the tonic major. The movement ends
with a coda and a statement of theme 1 in the minor mode, a return to the
melancholy pathos of the opening.
The first movement of the Quartet in D Minor, D. 810, conforms in some
respects, but deviates in others, from the basic scheme outlined in table 4.1.
Where it begins to deviate is with the second statement of theme 2, which is
stated in the key of A major. Up to this point, we have heard an initial theme in

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 sonata form ❧ 81

D minor (i); a transition leading to a second theme in F major (III); and then
another transition, an imitative sequential passage based on the head motive of
the second theme, leading to this second statement in the key of A major. Have
we arrived at the structural dominant, which is to be prolonged until the reca-
pitulation? The answer comes in measure 114, with the initial statement of the
closing idea (ff) in the key of F major. It would seem, then, that the controlling
key is still F major (III) and that A major in this context is really functioning
not as V in D minor but locally as III♯ in F. Schubert then throws us another
curve by restating the closing idea in A minor in preparation for the repeat of
the exposition. After the repeat, the development section opens with a third
statement of the closing idea, now in C major, the dominant of F (III). I believe
this clarifies what at first is potentially confusing, namely the succession of keys
beginning with the initial statement of theme 2: F major–A major–F major–A
minor (end of exposition)–C major (beginning of the development). My inter-
pretation of this and its continuation through the development is outlined in
example 4.1. As noted above, the statement of theme 2 in A major prolongs F
major, which is further extended by the three statements of the closing idea
culminating with its dominant.1 The entire development section is based on
this material, which is derived from theme 2.2 Returning for a moment to the
statement of theme 2 in A major in the exposition, it might appear initially as if
this movement deviates significantly from the simple model presented in table
4.1, but once we look and listen beyond the immediate connections, a differ-
ent story emerges, as noted by the lower of the two levels of harmonic analysis
shown in example 4.1.3
The first movement of the Piano Trio in B-flat also belongs in this cat-
egory, though, once again, there are modifications to our basic model. The
exposition consists of two themes, the first in the tonic and the second in the
dominant, plus a closing phrase that destabilizes the dominant in prepara-
tion either for the repeat or for continuation into the development. Both
keys are prolonged by motions to their dominants via altered mediants: B♭
(I)–D (III♯)–F (V) or in the key of the dominant F (I)–A♭ (♭III)–C (V). The
development section, a schematic of which was discussed in chapter 1 (see
ex. 1.13a), begins in the tonic minor and leads eventually to the dominant. It
appears, then, that it is the tonic that is being prolonged until arrival at the
dominant in measure 161 rather than the dominant being prolonged from
theme 2 onward, as in our model.4 The second change to our model comes
at the false recapitulation in G-flat major (♭VI) in measure 187, which, as
noted in chapter 3, may be interpreted as part of a motivic enlargement pro-
longing the dominant (see ex. 3.3c). In this instance there is not a double
return of tonic and theme 1; rather there is a thematic return and later a
tonal return, the equivalent of measure 26.

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 82 ❧ chapter four

Example 4.1. Quartet in D Minor, D. 810 (I), interpretation of key scheme

Exposition Development Recapitulation

1 61 102 114 134 141 152 163 173 186 198
Closing idea
œ ™ œ #œ
1 2 2 1
? ˙ œ œ œ ˙
b ˙ ™ / œ0 ˙
#

F: I IIIx I iii V

i III V i

Type 2: The Three-Key/Three-Theme Exposition

One of Schubert’s contributions to the expansion of sonata form in the nine-

teenth century is the three theme/three key exposition, a procedure adapted
on occasion by Brahms and others.5 The two movements to be discussed
here—the first movements of the Piano Trio in E-flat, D. 929, and of the Piano
Sonata in B-flat, D. 960—conform in most other respects to our classical mod-
els. Most important is that their recapitulations commence with a double
return to theme 1 and the tonic key, which differentiates them from those dis-
cussed in our third type.
We have already had an opportunity to examine the first and second theme
areas of the Piano Trio in E-flat in our earlier consideration of descending
major-third progressions (see ex. 1.16a). The initial theme area is divided
into an antecedent phrase and an expanded consequent, which becomes the
transition to the second theme. A prominent feature of this expansion is the
parenthetical statement in G-flat (♭III), which later becomes the dominant in
the enharmonic modulation to B minor (♭vi). However, to say that the second
theme is in the key of B minor gives the false impression that this key area is
temporarily stable. It is not; the first statement of this idea ends in G major,
and the second leads us back to E-flat major. As noted in chapter 1, this second
theme area is part of a chain of descending major thirds prolonging the tonic
(E♭), meaning, in essence, that there is a significant difference here between
the formal design (the articulation of two separate themes) and the underly-
ing structure (the prolongation of the tonic across a formal boundary). The
following transition then establishes the modulation to the dominant, which
is sustained throughout the third theme and closing idea. The entire develop-
ment section, which we will discuss later, is based on this closing idea. In the
recapitulation, the first and third themes are stated in E flat (I), while the ini-
tial statement of the second theme is stated in the key of E minor (enharmoni-
cally ♭ii), a fifth lower than in the exposition.

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 sonata form ❧ 83

Regarding the first movement of the Piano Sonata in B-flat, we observed in

the previous chapter how the first theme area and the entire exposition are
derived from the tonal motion of the opening phrase: B♭–G♭ (m. 8)–F (m.
9). The first theme area articulates this same pattern across its ternary design:
a (B♭)–b (G♭ pedal)–aʹ (F → B♭). And this pattern is replicated again at the
division of the exposition into three theme/three key areas: the first theme is
in the key of B-flat major (I); the second theme in the key of F-sharp minor
(enharmonically G-flat minor, ♭vi) vacillating with its relative major, A; and
the third area and closing idea are in F major (V). The development section,
which we will consider in greater detail later, opens in the key of C-sharp minor
(enharmonically ♭vi in the key of the dominant), which later becomes D-flat
major, and progresses via D minor on the path to the dominant. In short, the
dominant is prolonged from the third key area of the exposition through the
development. The recapitulation then follows a predictable path with minor
alterations. The first and third areas are now stated in the tonic with one inter-
esting change in the b section of the first theme, where Schubert recalls the
key of A major, originally a characteristic of the second theme in the exposi-
tion. Here the second theme is stated in the key of B minor (vacillating with
its relative major, D), a fifth lower than in the exposition, as occurred with the
second theme in the Piano Trio.

Type 3: Transposition Schemes

Schubert’s most “radical” solution to key relationships in sonata form is to

transpose the key scheme of the exposition in the recapitulation in order to
end rather than begin in the tonic. The simplest manifestation of this proce-
dure is the “subdominant recapitulation,” where the key relationship I–V of
the exposition is answered by IV–I in the recapitulation.6 Two prime examples
of this procedure are found in the opening movements of the Symphony no.
5, D. 485, and of the “Trout” Quintet, D. 667.7 In the first of these two, there
are two themes, the first closed in the tonic key followed by a transition leading
to statements of theme 2 in the dominant. The development section, based
on the initial idea, prepares the formal return in the key of the subdominant.
The following transition to theme 2 then prepares the tonal return to the
tonic. The situation with the first movement of the “Trout” Quintet is more
complex in that it combines the three theme (but not three key) exposition
with the subdominant return. The three themes of the exposition are stated in
the keys of A major (I), E major (V) and E major again. In the recapitulation
this scheme is transposed to begin in the key of the subdominant leading to
themes 2 and 3 in the tonic.
The “Trout” Quintet provides us with two further examples of Schubert’s
transpositional schemes. The Finale—like the second movement, which we

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 84 ❧ chapter four

will address shortly—consists of two parts, a statement of ideas (exposition)

and a restatement (recapitulation) without a development. The exposition
presents three ideas, the third a parody of the first, in which two-measure seg-
ments from the original theme are repeated. The three ideas are stated in the
exposition in the keys of A major (I), D major (IV) and D major again. In the
recapitulation, the succession of keys is E major (V), then A major (I) for the
remainder. So, it would seem that the key scheme of the first movement, I to V
answered by IV to I, is reversed in this playful last movement: I to IV answered
by V to I.8 An extreme example of this procedure is found in the second move-
ment.9 In this condensed movement, the exposition presents three ideas in the
keys of F major, F-sharp minor, and D major. To replicate this scheme ending
on the tonic requires that it begin from the key of A-flat major, a tritone away.
Schubert’s solution is to add a transition leading from D major to its subdomi-
nant, G major, from which the music shifts up a half step to begin the restate-
ment in A-flat major.10 From there the recapitulation progresses to A minor
and then finally to the tonic, F major.

Type 4: Hybrid Solutions

A cursory examination of Schubert’s late instrumental works might suggest that

he eventually abandoned his transposition schemes in favor of a more tradi-
tional approach, more specifically to the simultaneous return at the beginning
of the recapitulation to the opening material and to the tonic. At a superfi-
cial level this is true, but closer examination reveals that, in some instances,
the tonic is not functioning as a real return, at least from a structural perspec-
tive, but as dominant of IV. Whatever reasons Schubert may have had for this
change, this hybrid solution allows him to pay lip service to the notion of a
double return while surreptitiously maintaining his transposition scheme from
the subdominant. We will examine three examples of this hybrid approach to
sonata form—the first movements of the Octet in F Major, D. 803, the Quintet
in C Major, D. 956, and the Quartet in G Major, D. 887.
The first movement of the Octet opens with a chromatic slow introduc-
tion that includes its own pastoral theme. Ideas from the introduction—first
the pastoral theme, which begins in the key of A-flat major (♭III) leading to
an augmented sixth chord and then a repeat of the opening phrase—appear
again at the end of the development section. The original statement of this
material prepares the exposition, which presents three themes in the keys of F
major (I), D minor (vi) and C major (V). The repeat of the introductory mate-
rial later introduces the recapitulation, where only the first part of theme 1 is
stated in the tonic key. This transient return leads to the subdominant and a
literal transposition of the equivalent passages from the exposition. Except for
the brief return to tonic harmony (= V of IV), the recapitulation answers the

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 sonata form ❧ 85

key succession of the exposition, I–vi–V, by its transposition beginning on the

subdominant, IV–ii–I.11
Since the first movement of the C-Major Quintet has been examined else-
where in detail,12 I will present only a brief description of the movement as
pertinent to the current topic. The exposition consists of an introduction and
three themes stated in the keys of C major (I), E-flat major (♭III) and G major
(V). The development section prepares the return to the tonic for the state-
ment of the introduction, which subsequently leads to the subdominant for
the presentation of theme 1. Once again the tonic return is transitory (= V of
IV). The following succession of keys, F major–A-flat major–C major, is a trans-
position of the scheme presented in the exposition.
The situation is somewhat different with the first movement of the Quartet
in G Major. As was noted in the first chapter, the first theme area (mm. 1–54)
is closed in the tonic key, after which the transition progresses by an ascending
fifth sequence ending on an F♯ major chord. The second theme then pro-
gresses III♯–V34–I in the key of the dominant, which is subsequently prolonged
by a descending chain of major thirds. This is represented by the simple bass-
line sketch with annotations in example 4.2a. Below, at (b), is a representation
of the recapitulation. Here the first theme is stated in the tonic key, which
eventually leads to the subdominant to initiate the transition to theme 2. By
moving to the subdominant, Schubert could easily have transposed the rela-
tionships expressed in the exposition to lead back to the tonic. Instead he pro-
longs the subdominant by two statements of theme 2 in that key before stating
the theme in the tonic, finally completing the descending fourth to closure.
Schubert’s reason for making this change was most likely a practical decision
to avoid closure in the tonic too soon, that is, with just a single statement of this
second theme.

Type 5: A Single Unifying Progression

In chapter 1 we discussed the numerous representations of the progression I–

vi–IV–V–I (or the equivalent in the minor mode) at various levels in Schubert’s
music. There are two instances where this progression spans an entire move-
ment. One, the first movement of the Piano Sonata in A Minor, D. 537, was
noted by Ernst Oster in his extensive footnote regarding sonata form in his
translation of Schenker’s Free Composition: “Here I–VI–IV–V–I spans all three
parts of the first movement in such a way that the recapitulation begins on
IV.”13 The first and second themes in the exposition are stated in the keys of
A minor (i) and F major (VI), respectively. The development section prepares
the restatement of theme 1 in D minor (iv), which leads through V to the
restatement of theme 2 in A major (I). The second instance of this progression
occurring at this level is found in the second movement of the Symphony in

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 86 ❧ chapter four

Example 4.2. Quartet in G Major, D. 887 (I), comparison of exposition and

recapitulation: (a) Exposition; (b) Recapitulation
Theme 1 Transition Theme 2
a.)
? # œ nœ bœ œ œ œ nœ œ œ bœ #œ
˙ œ
IIIx 4
V3 I

I v
V

Theme 1 Transition Theme 2

? # œ nœ bœ œ œ œ œ œœ
b.)
˙ ˙ œ œ œ ˙
6 IIIx V4 I
5 3 4
3
I IV I
IIIx V I

B Minor. In this movement the first and second themes are stated in the keys
of E major (I) and C-sharp minor (vi) in the exposition. The recapitulation
begins abruptly with a statement of theme 1 in the tonic, but this harmony
soon becomes V of IV leading to a statement of theme 2 in the subdominant,
first A minor, then A major. The harmony then progresses through the domi-
nant to the tonic for the coda.14 This progression also plays an important role
in the first movement of this symphony, where its completion coincides with
the beginning of the recapitulation.

Theme 1 and the Transition to the Second Key Area

In my examination of ten sonata-form movements, I was curious to see if there
are common characteristics among the initial themes with respect to their for-
mal organization and to the path taken to the second key area. As one would
expect, there is considerable variety among the ten, though there are some
commonalities. In four of the ten, the first theme is preceded by an introduc-
tion or motto theme. And all but one have first-theme areas based on an a–aʹ–b
pattern, where it must be understood that “b” is often based in some way on
a, but in other respects contrasting. Transitions to the second key area run the
gamut from almost no preparation, in some cases only two measures, to more
extensive passages leading to the dominant in the new key. More than half of

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 sonata form ❧ 87

the ten fall into the former category (minimal preparation), a clear contrast to
earlier practice. Brief descriptions of the opening sections of each of the ten
movements follow.

Quintet in C Major (I)

This movement opens with an introduction (mm. 1–32) that consists of three
phrases: a (I)–aʹ (ii)–b (V). This is followed directly by the first theme, which
follows not only this same formal scheme but the overall tonal plan as well: I–
ii–V. The first theme ends on the dominant, and the transition to the second
key area is only two measures in length, as shown in example 4.3a.

Symphony in B Minor (I)

The first movement of this symphony opens with what I have labeled a motto
theme followed by a four-measure lead-in to the first theme. This theme has the
following formal/harmonic design: a (i–III–V)–aʹ (i–III–V)–b (III–V–i). The
transition to the second key area is brief (4 measures), shown in example 4.3b.

Symphony in B Minor (II)

This movement also has a motto, but in this case it is integrated into the phrases
of the first theme. Once again we encounter a three-part formal scheme: a
(mm. 1–16)–aʹ (mm. 16–32)–b (mm. 33–60), where each part consists of two
phrases and each ends with a perfect authentic cadence. And once again the
transition to the second key area is brief (4 measures), as demonstrated in
example 4.3c.

Piano Trio in E-flat (I)

Again we uncover a ternary formal design: a (mm. 1–12)– aʹ (mm. 12–35),

which ends on the dominant–b (mm. 36–48), which is the transition to the
second key area (♭vi). You may recall that the parenthetical statement inserted
into the second phrase (♭III) prepares the subsequent modulation to ♭vi,
enharmonically renotated as B minor. That is, ♭III becomes V of ♭vi.

Quartet in A Minor (I)

A feature of the first theme of this quartet is that it emphasizes the parallel
major mode in the second and third phrases, though it ends with a strong
cadence in A minor. The formal design is a (mm. 1–10)–aʹ (mm. 11–22)–b

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 88 ❧ chapter four

(mm. 23–32). Initially the following phrase sounds as if it will become the
transition, but instead it confirms A minor with a perfect authentic cadence
(ff) in measures 42–44. The next phrase, an imitative sequence, is the transi-
tion, leading to V of III (C major), the key of the second theme. Of all the
late works, this is the most traditional (most classical) in its preparation of
the new key.

Quartet in D Minor (I)

This quartet opens with a brief introduction (mm. 1–14) followed by three
phrases, each progressing from tonic to dominant: a (mm. 15–19)–aʹ (mm.
20–24)–b (mm. 25–40). This is followed by a transition to the second key area
that begins with a restatement of the powerful opening gestures and concludes
with the dominant of F major (III). Interesting and perhaps unusual features
of this transition are that the modulation is completed within the transition
itself and that the character is changed midphrase from bombastic to lyrical, in
anticipation of the second theme.

Quartet in G Major (I)

Though this movement is unique in several respects among Schubert’s late

works, the formal organization of the first area is closely related to the other
movements just discussed. That is, following a brief introduction, the formal
design of the first theme area can be described as follows: a (mm. 15–23)–
aʹ (mm. 24–34)–b (mm. 35–54), which closes in the tonic. However, it must
be understood that the b phrase begins as an augmentation of a, where the
two-measure segments of the original have been expanded to four. In a sense,
this first area consists of a statement followed by two variations. The following
sequence leads to an F♯-major chord, which is subsequently treated as III♯ in
the key of the dominant.

Piano Trio in B-flat (I)

The formal organization of the first theme area consists of two statements
(two periods), each exhibiting an a–aʹ–b pattern. Statement 1 (strings): a
(mm. 1–5), I–V; aʹ (mm. 6–12), ii–V–I; b (mm. 12–25), I–III♯–V7. The sec-
ond statement (piano) begins as before, but this time the aʹ phrase (mm.
31–37) cadences in F major (V). The b phrase then progresses from I to III♯
in the new key. The connection to the second theme, a pivot on the pitch A,
is only two measures in length. This passage was discussed in chapter 1 (see
ex. 1.10).

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 sonata form ❧ 89

“Trout” Quintet (I)

Like the Piano Trio just discussed, the first theme area of this movement—fol-
lowing an introduction (mm. 1–24)–consists of two statements, first the violin,
then the piano. Both statements follow the pattern a–aʹ–b, which here might
best be described as a musical sentence: a basic idea (a), I–V, followed by a var-
ied repetition of the basic idea (aʹ), V–I, followed by a continuation that leads
to the dominant. The b phrase is extended, and the shift to the dominant of
the new key is delayed until the last four-bar segment, a varied repetition of the
preceding four measures.

Piano Sonata in B-flat (I)

This is the one movement among this group of ten that does not exhibit an
a–aʹ–b pattern in its first theme area. Its formal organization is as follows: a
(mm. 1–9), an antecedent phrase, I–V; aʹ (mm. 10–18), a consequent phrase,
I–V–I; b (mm. 19–35); a″ (mm. 36–47). The b phrase is in the key of G-flat
major (♭VI), and the a″ phrase opens over a dominant pedal (cadential 4– 6–5).
3
Schubert avoids closure in the tonic, instead changing the dominant seventh
chord into a diminished seventh chord, while retaining F in the bass (B–D–F–
A♭), which is then respelled E♯–G♯–B–D, the diminished seventh chord pro-
gressing to the dominant of F-sharp minor, the key of the second theme. This
brief transition is shown in example 4.3d.

Development Sections
With one exception, all development sections I have examined carefully either
prolong the dominant from the exposition or progress to it.15 That one excep-
tion is the first movement of the “Trout” Quintet, where the tonal goal at the
point of thematic return is the subdominant, not the tonic. A feature shared
by several of these development sections—one that we could anticipate—is the
employment of sequence. In the following brief descriptions of individual move-
ments I will exclude three to be discussed in greater detail in part 2, namely, the
first movements of the Quartets in A Minor and D Minor and the Piano Sonata
in B-flat Major. That leaves six, since the second movement of the Symphony in
B Minor does not have a development section. I will limit the supporting exam-
ples to annotated bass-line representations of the formal and tonal designs.

“Trout” Quintet (I)

The most direct path from dominant (end of exposition) to the subdominant
(opening of the recapitulation) is through the tonic. Eventually Schubert does

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 Example 4.3. Brief connections to the second key area

a.) Quintet in C Major (I) Theme 2

57
#œ œ Œ Ó
& 44 œœœ Œ bœœ Œ œ ˙ ™™
œ w˙ #œ nœ b˙˙ ™™ œœ œœ

{ ?4 œ Œ œ Œ
4œ œ
C: V
œ Œ Ó
œ ∑

Eb: I
pizz.
bœ Œ Œ œ

b.) Symphony in B Minor (I)

Theme 2
‰
# œœœ œœj
38
œœ œœ
&# ˙ ˙™ ˙™ œ œœ n œœ œ J

{
Bsn.
œ
Hn.
˙ ˙™ ˙™ œ œœ œœ œœ
? ## œœ œ Œ Œ
pizz.
b: i O VR VI

c.) Symphony in B Minor (II)

## j
Vn.
Ϫ Ϫ r
& # # œ™ œ™ œ œ ‰ œ™ œ
œ

{
Hn. Ϫ
œ™ œ R
œ™ œ œ
? #### Ϫ
Bsn.
œ œ œ œ™ œ ‰ ∑ ∑ ∑ R
œ. œ. œ œj ‰ ‰
pizz. . . . . .
E: I c#: i

d.) Piano Sonata in B-flat Major (I)

44
b j # œ #œ
&b ww
w bn˙˙˙ ™™™ nœœœœ bn˙˙˙˙ ™™™™ ##œœœœ ##n˙˙˙˙ #œœœœ ‰ n œœœ ‰ # œœ

{
w n˙ ™ J J
o4 o4 o7
3 2
?b w w œ Œ Ó
b w w b ˙™ #œ j
#w #œ
9 8
Bb: V 7 O 7
V R ¼vi

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 sonata form ❧ 91

reach the tonic to introduce IV, but the path he chooses is indirect, providing
ample opportunity to explore new tonal areas and to develop motivic material.
Basically, the development consists of two contrasting ideas, the first an eight-
bar melody derived from the initial four notes of the introductory idea. (The
first part of the development—up to the modulation to A-flat major in measure
189—consists entirely of eight-bar groups.) The second idea, first stated in mea-
sure 173, is scalar and is characterized by its entrance on the second beat of the
measure. These two ideas are represented in example 4.4a by the numbers 1
and 2 above the staff. The development section opens with two statements of the
derived melody in C major, and a varied third statement becomes the transition
to the contrasting idea in B-flat major, V of the following E-flat major. This idea is
treated imitatively by the top three string instruments. This leads to a single state-
ment of the derived melody in E-flat major beginning in measure 181. This state-
ment leads directly to the contrasting idea in A-flat major beginning in measure
189, at which point the metric groupings become irregular, signaling change.
The bass now progresses chromatically from A♭ to D♭, which enharmonically
becomes the third of the A-major harmony taking us to the immediate goal, the
subdominant. The roman numerals below the staff indicate that the connection
of V to IV is made through I, functioning locally as V of IV. My notation of the
bass line suggests that the fourth E♭–A♭ is then answered by A–D, though the
two do not receive similar musical articulations.

Quintet in C Major (I)

By contrast, the development section of the first movement from the C-Major
Quintet prolongs the dominant in preparation for the return to the tonic,
though, as noted previously, this tonic eventually introduces the subdominant
for the statement of theme 1 in the recapitulation. The development section
opens with a partial statement of theme 2 followed immediately by a statement
of the closing idea, both in A major. This leads to the first of three parallel pas-
sages beginning in the keys of F-sharp minor (m. 169), E major (m. 203) and D
minor (m. 239), as indicated by the brackets above the staff in example 4.4b. In
this case, the numbers do not indicate thematic ideas, as in the previous sketch,
but rather the components of each of these sequential statements. The number
1 refers to the strident imitative passage (f) based on the closing idea; number
2 refers to the ensuing dominant in the local key; and number 3 represents the
statements of the contrasting idea (p). In the first of the three groups, Schubert
rewrites the dominant key, C-sharp major, as D-flat major. The third of the par-
allel passages, beginning in measure 239, is altered to regain the dominant in
preparation for the return to C major. As indicated by my notation of the bass-
line sketch, the dominant is prolonged by a descending progression by step, G–
F♯–E–D, which is articulated in the music by the three sequential statements.

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 92 ❧ chapter four

Piano Trio in B-flat (I)

The development section of this movement, which is divided into three

parts, prolongs the tonic until the arrival at the dominant in measure 161
(see ex. 4.4c). The first section, based on theme 1, progresses from the
minor tonic through ♭III to V, ending on V of V. The second section, based
on theme 2, opens in the key of A-flat major (♭VII), an important aural
component in this movement, which is extended by a chain of descending
major thirds leading to the dominant. The third section, which includes
the false return of theme I in G-flat major, prolongs the dominant. As dis-
cussed in chapter 3, this prolongation of V by its chromatic upper neighbor
may be interpreted as an expansion of a motivic idea first introduced at the
end of the exposition.

Quartet in G Major (I)

The development section of this movement, which is based entirely on the first
theme and its variants (identified as 1a, 1b, and 1c in ex. 4.4d), prolongs the
dominant. The development opens with the dominant of E-flat major, which is
extended by a chain of descending major thirds B♭–F♯–D–B♭, represented in
our example by the single B♭ in a square to conserve space.16 This introduces
a statement of 1a in E-flat major, which subsequently leads to the dominant of
E major, which, like the dominant of E-flat, is extended by a chain of descend-
ing thirds. This leads to the dominant of F major, to which it leads in measure
218. At this point a clear expectation has been established that the bass will
continue to rise chromatically to A, V of V. This expectation is thwarted when
the motion to F major is treated as the upper neighbor of E within a prolonga-
tion of E major as V of A, which is then treated in a parallel manner, becom-
ing V of V. This parallelism is clearly represented by the notation employed
in the sketch. In short, the prolongation of V is accomplished by a chromatic
middleground ascent from D to E, which initiates an elaborate progression by
descending fifths back to D.

Symphony in B Minor (I)

This movement differs from the others discussed here in several respects, but
most notably in that its overall harmonic plan involves an arpeggiation from
tonic (theme 1, B minor) through the submediant (theme 2, G major) to the
subdominant, which is prolonged throughout the development until the dom-
inant is reached in measure 202. Another feature of this development that sets
it apart from the others is the extensive use of incomplete or unresolved pro-
gressions, represented in the sketch provided (ex. 4.4e) by short vertical lines

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 sonata form ❧ 93

on the staff.17 The development opens with a statement of the motto theme
in E minor (iv), which is followed by an idea derived from its opening ges-
ture, the rising third E–F♯–G. This leads to an augmented sixth chord that is
left unresolved, but, as suggested by the dotted slur in the sketch, this chord
is later resolved to the dominant in preparation for the triumphant return
of the motto theme beginning in measure 170. Meanwhile, there are incom-
plete progressions suggesting the keys of B minor, C-sharp minor, D minor,
and finally E minor, this last one realized. The last three of these progressions
are treated sequentially (sequence 1), alternating between full orchestra and a
thinner texture with reminiscences of the off-beat accompaniment of theme 2.
Following the restatement of the motto theme in E minor (iv), there are two
further sequences, both based on fragments derived from the motto theme.
The third and final statement in the third sequence leads to the dominant in
measure 202, which is prolonged for several measures in preparation of the
double return to the tonic and theme 1.

Example 4.4. Development sections

“Trout” Quintet
Th. 1
149 173 181 189 200 203 210
1. 2. 1. 2.
? ### œ ™™ nœ bœ œ bœ #œ nœ ˙
b œ bœ nœ œ nœ
a.)
œ 7
h g h g
V I IV

Quintet in C Major
Intro. Th. 1
169 203 239 267 295
g1 2 3
g 1 2 3 h g 1 (2)
h (3)
h
? ™™ bœ œ
b.) ˙ œ #œ #œ #œ œ
œ #œ œ n œ nœ
nœ œ
# # # # # # #

V5 7 I IV

Piano Trio in B-flat Major

False return Tonal return
112 139 161 187 211
Th. 1 Th. 2 Th. 1 Th. 1
? bb œ ™™ œ bœ œ œ
c.) ˙ bœ n œ bœ bœ ˙
J œ œ NJ
œ
i ¼III V ¼VII
I V I

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Beach.indd 94
Example 4.4.—(concluded)
Quartet in G Major
168 180 201 218 234 242 269 278
1a 1b, 1c j 1c Recap.
nœ j
d.)
?# ˙ œ ™™ bœ bœ bœ nœ nœ œ œ nœ bœ #œ œ nnœœ #œ œ œ nœ bœ bœ #œ œ nbœœ nœœ ˙
!7 7 6 J #œ
!7 7 # §5 7 6
# # 6 #§5 J
5
V 6 I! §
5

Symphony in B Minor (I)

124 134 146 154 162 170 184 189 192 202 218
1 2 3
sequence 1 seq. 2 g h
sequence 3
g h g h
g 1 h g 2 h g 3 h g 1 hg 2 h œ œ
#œ œ nœ #œ nœ œ nœ œ œ œ œ œ nœ #œ œ œ œ œ
e.) ? ## œ œ
˙ ™™ œ œ nœ œ ˙
+6 6 +6 6-5 o4 6- 5 +6 65 7 7 6 H 6 H 4
5 5 # 5 4-# 3 4- 3 5 4# # # 4 4 S
3 3
65
i VI iv iv V3 # i

Piano Trio in E-flat Major

I II III
194 204 220 246 256 272 298 308 336 384
1. 2. 3. 1. 2. 3. 1. 2. 3.
nœ œ nœ bœ
f.) #œ
? bb ˙ ™™ nœ œ nœ nœ œ bœ
b nœ nœ œ nœ nœ œ #Ôœ œ #œ #œ #œœ nœ nœ nœ œ #œ nœ #œ
nœ b˙
!9 !9 J
7 !7 !7 6 7 7 7 !7 H 7 7 § ! 7
# # # # # # # # # # !
¼VI O iv V R ¼III O iv VR ¼VII
V V I

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 sonata form ❧ 95

Piano Trio in E-flat (I)

This extensive development, which is based entirely on the closing idea, is

divided into three large parallel sections, as indicated by the roman numer-
als I, II, and III above the sketch in example 4.4f. Each of these large sections
is further divided into three parts, as indicated by the arabic numbers 1, 2,
and 3. Number 1 represents a statement of the closing theme; number 2 indi-
cates sequential treatment of a variant of this idea (strings); and number 3
represents a passage involving imitation between piano and violin. The first
section begins in the key of B major (enharmonically ♭VI), and, following a
progression in ascending minor thirds, it concludes with the progression iv6–
V7 in the initial key of the next section, F-sharp major (enharmonically ♭III).
This process is then repeated, leading to the initial key of the third section,
C-sharp major (enharmonically ♭VII). The third part of the third section is
omitted, replaced by material leading to the dominant in measure 386, which
is extended for forty-eight measures before the double return.

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Beach.indd 96 4/4/2017 4:36:07 PM
 Part Two

Analyses

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Beach.indd 98 4/4/2017 4:36:07 PM
 Chapter Five

Three Scherzo Movements

A scherzo movement consists of three parts: scherzo–trio–scherzo. In this chap-
ter we will be examining the scherzo portions of three movements in detail from
the perspectives of formal design and voice-leading structure. The trios, which
offer foils to the scherzi, will be discussed, but without accompanying graphs of
their voice-leading structures. The three movements, which differ in their instru-
mentations and character, are the following: (1) the third movement of the
Piano Sonata in A Minor, D. 845, written in the early months of 1825 and pub-
lished that autumn as op. 42 with a dedication to Archduke Rudolph of Austria;
(2) the third movement of Schubert’s last and most famous chamber work, the
C-Major String Quintet, D. 956 (1828), which was first performed publically at
the Musikverein in Vienna on November 17, 1850, and published three years later
as op. posth. 163; and (3) the third movement of the C-Major Symphony, D.
944 (“The Great”) which was written over a four-year period, 1825–28, and first
conducted by Felix Mendelssohn at the Leipzig Gewandhaus on March 21, 1839.
The formal design of a scherzo is designated as ||: A :||: B Aʹ :||, traditionally
referred to as rounded binary form, “binary” because it consists of two parts
that are repeated and “rounded” because of the return of A, normally with a
concurrent return to I, in the second part. However, from the perspective of
the voice leading, which does not account for the repeats of parts 1 or 2, the
underlying design is ternary: A B Aʹ. The formal design of the scherzo move-
ment from the C-Major Symphony, D. 944, is an expansion of this basic scheme,
that is, sonata form. From the perspective of Schenkerian voice-leading struc-
ture, the first two parts of the form, A and B, are united by the interruption of
the fundamental structure (and its subsequent prolongation in movements in
the major mode), and the final portion completes the motion to closure. This
can be demonstrated as follows:

||: A :||: B Aʹ :||

//
Major: I V prolonged I V I
//
Minor: i III → V i V i

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 100 ❧ chapter five

From the perspectives of formal design and underlying structure, there is

nothing that distinguishes these movements from scherzos by, say, Beethoven
or Mendelssohn. What identifies them as Schubert is his distinctive harmonic
language, particularly as revealed in D. 845, and their character, especially in
the trio of the C-Major Quintet.

Piano Sonata in A Minor, D. 845 (III)

A formal/tonal plan of this delightful and playful scherzo movement is given

in table 5.1. It strikes me that the best way to describe the first part of the form
is as an extended musical sentence, though I may be stretching Schoenberg’s
meaning of that term a bit.1 I interpret measures 1–5 as the basic idea, which
exhibits its own sentence structure (basic idea, basic idea repeated at the same
pitch level and continuation to the cadence),2 which is followed by a varied
repetition a third higher and a continuation to the cadence in measure 22.
This is followed by an extension leading to another cadence on III in measure
28. This same type of musical construction appears again in both the B and the
Aʹ sections of part 2 of the formal design.
Part 2 of the form is introduced by a four-measure idea prolonging the
dominant of F minor, which is subsequently repeated an octave lower. At first
glance, this apparent reference to the first movement seems unnecessary, since
Schubert could easily have progressed directly from measure 28 to measure
37. However, a modified version of these eight measures is used later as end-
ing 1 of the scherzo, making a relatively smooth transition from A major to the
repeat of part 2, which opens with a six-measure prolongation of V7 of A-flat
major, the key of the following phrase. Locally we might hear A-flat as III of F
minor, but in the larger context it functions as ♭VI of III (C major). This initial
phrase in A-flat major is followed by another modified sentence construction.
The basic idea (mm. 58–63) is in the key of A-flat minor, and the varied rep-
etition modulates from A-flat minor to E minor (v). The continuation then
leads to another cadence in E minor in measure 79. This is followed by the
retransition, which prolongs the dominant and reintroduces the characteristic
rhythmic motive of the movement in preparation for the return to the opening
material. The following Aʹ section follows the plan of part 1, the only change
being the switch to A major after the initial five-measure idea.
Melodically the movement opens with an ascending third to C5, and the fol-
lowing gesture emphatically confirms this note as the focal point of this open-
ing five-measure idea.3 Subsequent events will confirm it as the primary tone
^
(3) of the movement. The varied repetition of this idea replicates the open-
ing melodic progression a third higher, now in the key of C major (III), but
with the addition of B♭ in the bass (third beat of m. 8). The ascent continues

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 Table 5.1. Formal/tonal plan of the Piano Sonata in A Minor, D. 845 (III)

Sentence

basic idea 1–5 a: i

basic idea varied 6–10 C (III): I

continuation 10–22 I–♭VI6–V–I

extension of the cadence 22–28 I–V7–I

Transition to 29–36 V of f
part 2

Lead-in to the 37–42 V7 of A♭

initial phrase

Initial phrase 43–57 A♭: I–IV6–[o7] V

Sentence

basic idea 58–63 a♭

varied repetition 64–69 a♭ → e (v)

continuation to the 69–79 e: i–ii6–V–i

cadence

Retransition 80–92 a: V

Aʹ

Sentence

basic idea 93–97 a: i

basic idea varied 98–102 A: I

continuation 102–14 I–♮VI6–V–I

extension of the cadence 114–26 I

Ending 1 (var. of trans. to part 2) 127–30 V of a

131–34 V of f

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 102 ❧ chapter five

beyond the third, E5, to F5, initiating a descending third as the melodic line
descends through D5 back to C5. As shown in the notation in example 5.1,
a foreground graph of the A and B sections of the scherzo (mm. 1–92), the
ascending third C5–D5–E5 descends back to C5 via D5, which is introduced
by its upper third, F5–E5–D5. C5 is immediately covered by G5 in measure
10, and in the following continuation is prolonged first by its upper neighbor
A5, then by A♭5, before descending a fifth back to C5. The harmonization of
the chromatic upper neighbor by an A♭ chord (mm. 17–18) anticipates the
modulation to that key in the B section. The melodic content of measures
22–28, the extension of the cadence, is an ascending fourth from the cover-
ing tone, G5, to C6.
The transition to the B section, which prolongs the dominant of F minor,
introduces four flats, thus preparing the subsequent modulation to A-flat
major. This change is further prepared by the opening measures of the B sec-
tion, an extended lead-in on the dominant seventh chord in the new key. The
phrase in A-flat major then commences in measure 43. As shown in example
5.1, C5 and the supporting A-flat harmony are initially prolonged by two voice
exchanges, the second one culminating in the arrival at C6/A♭. This is fol-
lowed immediately by a chromatic voice exchange transforming the subdomi-
nant harmony into a diminished seventh chord of V in the local key, thereby
introducing C♭, a feature of the parallel minor mode. The following domi-
nant is not stated in full, but represented by its bass note alone. What follows is
another extended musical sentence beginning in the key of A-flat minor. Here
^
the main melodic note C♭ (♭3) is stated in an inner voice covered by E♭5.
To conserve space, I have not written out the voice leading of the initial idea
(mm. 58–63) in example 5.1; but in the varied repetition of this idea, E♭5 is
transformed into D♯5 leading to E minor, and in the following continuation,
B5 (which previously had been C♭5, the third of A-flat minor) descends a fifth
to local closure in E minor (v) in measure 79. The following retransition pro-
^
longs the dominant of A minor and B4 (2) by its upper neighbor, C5.
Example 5.2 provides an overview of the layers of voice leading of the A and
B sections. At the deepest level, there is an interruption of the fundamental
^ ^
structure: C5 (3)/i leads to B (2)/V. As shown to the right in the example, the
primary harmonic motion is i through III to V, and the function of A♭ within
this context is to connect III to V via a progression of descending major thirds.
Melodically, this deep middleground progression prolongs 3^ (C5) until it pro-
gresses to ♭3^ (C♭) in anticipation of 2^ (B) supported by the dominant. More
immediate levels of prolongation shown in example 5.2 do not require further
commentary.
A foreground graph of the Aʹ section (mm. 93–120) is provided in example
5.3. As noted above, the only significant change is the shift to A major (replacing
the shift to C major at the equivalent spot earlier) after the initial five-measure

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Beach.indd 103
Example 5.1. Piano Sonata in A minor, D. 845 (III), foreground graph of mm. 1–92
5th
22 4th 28
3… N N
A j œ j
œ œ œ œ œœ œœ n œœ œ
& œ #œœ œœ œœ œ̇ œœ œ œ œœ œœ œœ œœ œ œ œ bbœœ œœ œœ œœnœœ œœ œœ œ œ œ œœ #œœ œœ ™™
œ œœ œœ œ œ œ œ œ œ nœ œ œœ œ
1 2 3 4 5 1 2 3 4 5/1 2 3 4 5 6/1 2 3 4 5 6 7 8
œ œ œ œ bœ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
? œ œ J J
œ œ œ œ
œ œ œ ™™
#œ ˙ N J J
# J 6 4 6 6 5 7 5 N 65 H 6 6 7
{ 6 5 2 4 3
C: ii 6 V4 3
I 3
I
a: i III

29 37 43 58/64
4th B œ
bœ bœ œ bb œœ b œ bœ
bbœœ bœœ ™™ bœ bœ bœ œ bœ œ bœœ bbœœ œ œ œ bœ
& œ bœœ bœœ œœ bœœ œœ bœ bœ œ bœ bœ bœ œ
1 2 3 4 1 234 2 3 4 5 1 2 3 4 1 2 1 2 3 4 1
œ œ œ b œ nœ œ œ b 1œ b œ3 4œ b œ b œœ œœ bb œœ
? ™™ bœ
bœ bœ œ
bœ nœ œ œ œœœ bœ
œ bœ bœ
: 8 !7 N 5 4 6
{ !7 N 5 4 3 2
J56 4
Ab: V I IV 6 O o7 R “V” i

64 79 83 92
(2)
… …2 "
5th
bœ œ #œ nœ œ Nj
& œ œœ #œœ œœ ##œœ œ #œœ
œœ #œœ nœœ œœ œœ œœ #œ̇ j
œ Nœ œ
1 2 3 4 5 6 1 2 3 4 1 2 3 4 5 6/1 2 3 4 1 2 3 4 5 6
œœ œ 2œ 3œ
# 4œ 1œ
? bb œœ œœ #nœœ #nœœœ nœœ
œ œ œ J ˙ #œœ #œœ #œœ
œ œ œ œ
H J 7 œ
{ B
!
4
3
6 § # 9
e: i ii V46 5
# i 7
a: V

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Beach.indd 104
Example 5.2. Piano Sonata in A minor, D. 845 (III), middleground graph of mm. 1–92

22 43 58 67 79 83 92
…3 …2 " …3 …2 "
5 (b3)
Nj nœ 5 j
œœœ bbœœ œ œ nœœ œœ nœœ œœ œ bœ b œ nœ ˙œ
& ˙ bœ œ œœ bœœ bœœ bbœœ bœ #œœ œn œ nœœ #œœ œ #œ œœ
œ # œ œ #œ #˙œœ œ nœœœ bbœœœ bœ nœœ̇ #œ
J =
œ œœ œ œ œ b œ bœ œ œ bœ
? œ J œ œ #œ#œ nœ œ ˙ œ ˙
˙ J œœ ˙
5 N 6 6 6 5 N
J 7
{ 5 4 3 B § ! § ! § #
i III V§ # i III V

4/4/2017 4:36:13 PM
Beach.indd 105
Example 5.3. Piano Sonata in A minor, D. 845 (III), foreground graph of mm. 93–120

93 102 114 120

…3 (#3) …2 …1 4th
A' œ 5
Nj œ œ Nj œ œ nœ œ
œ œ œ ˙ œ ### œ œ œ nnœœ œœ œœ œœ #œœ œœ #œ œ
& œ œ
œœ œœ œœ œœ œ œ œ
œ œ œ œ œ œ̇ ˙ œœ #œœ œœ œ œ
1 23 4 5 1 2 3 4 2 3 4 5 6/1 2 3 4 5 6 7 8
œ œ # œœ œ œ œ œ 5/1
œœ œ œ œ ˙ œ
? œ ### œœ nœ œ œ œ œ œ œ œ œ œ ˙ œ œœ œ œ
#œ ˙ œ J J
# J6 6 4 6 6 5 7 5 Y 6
J J
{ 2 4 3 § 5
65 6
i I ii6 V 4 3 I

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 106 ❧ chapter five

idea, one result being the change of the primary tone from C5 to C♯5. The
following cadence on A4 in measure 102 is immediately covered by E5, which
is then prolonged by its upper neighbor, F♯5, then F♮5, before descending a
fifth to closure in measure 114. Completion of the descent of the fundamen-
tal line occurs via this descent of a fifth, as reflected in the notation in exam-
ple 5.3. As before, the melodic content of the extension of this cadence is an
ascending fourth, here progressing from the covering tone E5 to A5.
The trio opens with a four-measure introduction that features the repeated
third A–C, the root and third of A minor. It is not until the following phrase
that we hear this third in relation to F major. This section, the A portion of
the rounded binary, consists of two phrases of eight measures, the second one
extended by four. The entire eight-measure phrase and its varied repetition
are stated over an F pedal, a common classical device for trio movements. Only
in the four-measure extension does the phrase move away from F major to a
cadence in A minor, locally iii in F, but actually the prevailing tonic of the move-
ment and the sonata as a whole. The harmonic interest in the trio follows in the
B section of the formal design. This section opens with a reference to the first
movement (mm. 20–23), where Schubert employs an F7 chord to embellish the
dominant, suggesting a possible motion to the key of B-flat major (♭II). Instead
the F7 chord is respelled as an augmented sixth chord leading to a cadence
in A minor. Here, however, Schubert employs this same chord, first heard as a
decoration of A minor, to lead briefly to B-flat. The next four-measure group
begins a step lower, but here the decorative chord functions as spelled, as an aug-
mented sixth chord leading to G minor. The B section then ends abruptly on an
A7 chord, after which the Aʹ section returns directly to F major. This is another
example in Schubert’s music of the juxtaposition of III♯ and I.

String Quintet in C Major, D. 956 (III)

This spirited scherzo provides a sharp contrast to the somber second movement
of the quintet. The formal design and key scheme, an outline of which is given in
table 5.2, is clear. The first part consists of two periods, the first closed in the tonic
key (C major) and the second modulating from A-flat major to the dominant. The
first period exhibits an a–b–aʹ design with an extension of the cadence that also
serves as the bridge to the second period beginning in measure 29.4 What I have
labeled as a in this formal design establishes the strong forward momentum of
the movement over a tonic pedal, creating a sense of urgency almost like spin-
ning one’s wheels without establishing any traction, if you will pardon the anal-
ogy. The b phrase establishes that traction, finally moving harmonically; it also
provides clear contrast to a in terms of rhythm and note values. The return to the
opening material (aʹ) coincides with arrival at the dominant, which is prolonged

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 three scherzo movements ❧ 107

until the arrival at the tonic in measure 24, after which there is a brief extension/
bridge over a tonic pedal. This entire passage, measures 1–28, is unified by a single
harmonic progression: I–[V]–ii–V–I. The second period is introduced by a 5-♭6
motion over a stationary bass note (C). I have labeled the following sixteen mea-
sures as c—a four-measure idea in the key of A-flat major (I6–ii–V7) that is repeated
an octave lower, then followed by a progression of parallel sixth chords leading to
V7 in the local key, which functions as the German augmented sixth chord in the
key of the dominant. This passage introduces syncopation in the inner voices, the
result at this brisk tempo being to disrupt the forward drive (and possibly to create
the impression that the performers have temporarily lost their way!) until arrival
at the augmented sixth chord, where order is restored. This is not the only time
Schubert will interrupt the established flow. The following measures (marked a″)
prolong the dominant until arrival at the tonic in measure at measure 52 in the
new key. A characteristic of these measures is the hemiola created by the duple
pattern (violin 1) against the triple meter. As occurred with the first period, the
cadence is extended by an additional four measures.
The B section opens with an eight-measure phrase that establishes the key
of E-flat major (♭III). This is followed by a new idea (violins), also eight mea-
sures in length and in the key of E-flat major, which is subsequently repeated.
Schubert then begins a third statement of this idea, but he cuts it short after
two measures and begins again a third lower in the key of B major, marked ff
by Schubert. This is a wonderful spot—a musical joke, if you will—that should
be emphasized in performance. Earlier Schubert had interrupted the momen-
tum by the use of syncopation; here he interrupts the larger rhythmic flow, the
hypermeter, with these extra two measures. The B-major phrase is repeated,
after which begins the retransition leading to the dominant. A characteristic
of this passage is the reintroduction of syncopation in the upper parts with the
chromatic turn around G: A♭–G–F♯–G.
The Aʹ section begins as before with the statement of the a and b ideas,
but things change suddenly in measure 146. Instead of progressing to the
dominant in the original key, as he had done before, Schubert suddenly intro-
duces the dominant of E-flat major, to which he progresses in measure 153.
He remains in this key for the beginning of the second period. We are now a
fifth higher than at the equivalent spot in the first section, which means that an
exact transposition of the following material would lead to D major rather than
the desired return to the tonic. Schubert solves this issue by making an adjust-
ment at the end of the ascending parallel sixth chords begun in measure 166.
Instead of leading to a B♭7 chord (V7 in E♭), he comes to a temporary rest
on a harmony a step lower, the augmented sixth chord in C. This leads to the
dominant in measure 174 and closure on the tonic in measure 181. The follow-
ing coda, which returns to the opening idea, functions to dissipate some of the
tremendous energy generated throughout the movement.

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 Table 5.2. Formal/tonal plan of the Quintet in C Major, D. 956 (III)
A
Period 1
a 1–8 C: I
b 9–16 I [V] ii
aʹ 17–24 V-I
ext. of the cadence 24–28

Period 2
c 29–44 A♭: I6 → V7/G: +56
a″ 45–52 G(V):V–I
ext. of the cadence 52–56
B
Introductory phrase 57–64 E♭ (♭III)

“New” idea
1 64–72 E♭
2 72–80 E♭
( ) 80–81! E♭
3 82–90 B
4 90–98 B

Retransition 98–114 B – G56

114–29 C: I . . . V
Aʹ
Period 1
a 129–37 C: I
b 138–45 I [V] ii
aʹ 146–53 E♭ (♭III):V–I
ext. of the cadence 153–57

Period 2
c 158–73 E♭ I6–C: +56
a″ 173–85 C: C; V–I

Coda 185–211 I

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 three scherzo movements ❧ 109

From the perspective of structural analysis, the opening period presents

some interesting challenges with respect to the notation of levels of voice-lead-
ing strata. As the movement unfolds, it becomes quite clear that the primary
^
tone is E5 (3), which is frequently covered by G5, itself prolonged by its dia-
tonic and chromatic upper neighboring tones. An important matter, however,
is determining at what point 3^ is actually established. It would not be “wrong,”
I suppose, to assign that status to E5 right from the very beginning, though
it seems that the music does not convincingly arrive at that pitch until mea-
sure 8, where it is immediately covered by G5, which is subsequently prolonged
by its upper neighbor, A5. My notation of these first eight measures (ex. 5.4)
attempts to capture the essence of what Schubert has written: an ascending
third C5–D5–E5 over a tonic pedal with strong emphasis given to the pass-
ing tone D5. So measure 8 is a logical place to indicate the establishment of
the primary tone, and if you look ahead to my graph of the Aʹ section (ex.
5.8), you will see that I have notated the re-establishment of 3^ at the equiva-
lent spot there, measure 137. So I must explain why I have not done so in the
beginning, where the continuation is different, requiring, I believe, a differ-
ent interpretation. The fundamental issue here is determining the function
of D5 and its supporting dominant in measure 17 at the return to the opening
material. This is not a lower-level interruption, but rather a harmonized pass-
^
ing tone in the longer-range ascent to 3. That is, I hear the initial ascent to E5
(mm. 1–8) as embedded within the larger ascent C5 (m. 1)–D5 (m. 17)–E5
(m. 24). Circumstances are different in the Aʹ section, requiring a different
solution. The other important feature of my graph of measures 1–28 is my use
of brackets to highlight the introduction of the prominent covering tone G5
by it incomplete upper neighbor. The second period, in fact, is introduced by
a 5-♭6 motion above the bass note C, another manifestation of this neighbor-
note relationship. Example 5.4 shows the prolongation of A♭ over C until the
chromatic ascent in parallel sixth chords leading to the augmented sixth chord
in the key of the dominant in measures 42–44. Resolution to D5 supported by
V of V in measure 45—at the return to the opening material—prepares the
arrival at D5/V in measure 52. At this point it is not clear whether this domi-
nant is a divider or the structural dominant. My notation reveals that I will
interpret it as the latter.
Example 5.5a provides an overview of the voice leading of the A section (mm.
1–56) with the position of the upper two parts as stated, that is, with the covering
tone G5 as prominent. In example 5.5b, I have indicated the structural voice as
primary with G placed an octave below, which reveals the prolongation of the
chromatic passing tone E♭5 by a chromatic voice exchange from the A♭ chord
in first inversion to the augmented sixth chord in the key of the dominant.
The B section opens with a phrase that establishes the key of E-flat major
(♭III) and prolongs the covering tone G5 by its chromatic upper neighbor,

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Beach.indd 110
Example 5.4. Quintet in C Major, D. 956 (III), foreground graph of mm. 1–56

9 17 24
A
a b a' octave coupling
1… (3)
… 2… 2… …3
Nj > œœ œ œœ
N N > œœ œœœ œ œ
>œ œ œ >œ œ œ œ œ >œ œ œ >œ œ œ œ œ œ œ œJ œ œ œ œJ œœ œœ œ œ œ >œ œ œ œœ œ œ œ œ œ œ ˙
& œ
ú N N
I
1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 2
1 œ 3 œœ 4 1 2 3 ˙4 ( œ1 œ2 œ3 œ4 )
? œ œ œ bœ œ œ œ œ œ œ œ œœ œ œ œ œ œ
˙ œ œ œ œ œ œ œ œ J
6 5 4 # 6 5
{ 4 3 2
O VR ii V
I V I

29 37 45 52
…
c bœ bœ a" “”2
œ bœ bœ œ bœ j (duple pattern against triple meter)
bœ œ bœ bœ #œ œ œ œ
& bœ nœ œ #œœ œœ œœ œœ œœ œ œ œ œ >œ œ œ œ œ œ œ œ œ œ œ œ̇ ™™
bœ bœœ nnœœ œ # œ œ
II 1 2 3 4 1 2 3 4 1 2 3 4 5 6 7 8 1 2 3 1 2 3 4 (1 4)
? œ œ bœ œ œ œ œ œ œ 4œ
œ œ ˙ œ œ2 œ3 œ
bœ bœ œ #œ œ #œ œ ™™
{ œ œ bœ b œ
N 6 6 6 6
Ab (bVI): I ii V7 I6 ii V7 I6 V7
+6
G (V): 5 V I
V

4/4/2017 4:36:23 PM
 three scherzo movements ❧ 111

Example 5.5. Quintet in C Major, D. 956 (III), underlying structure of mm. 1–56

a b …3 …2
67
œœ bbœœ œœ ˙ bbœœ #œ
& #œ œ œ ˙œ
œ œ b œœ # œœ & œ
˙
œ
œ b œ #œœ
œ ˙

I5 N H V I5 N H # V

A♭5. As shown in example 5.6, the following idea, which is repeated, further
prolongs the key of E flat and G5. I have indicated this prolongation of G5 in
two ways, one through the descending third B♭5–A♭5–G5, but I have also indi-
cated A♭5 as a neighbor note (N) at a deeper level, that is, as a variant of the
melodic motion of the preceding phrase. Following the abandoned beginning
of a third statement of this idea, the music skips down a major third to B major
for two further statements of this new idea. Melodically we have moved from
the covering voice (G5) to the structural inner part (D♯5). In the following
measures, the B-major chord is transformed into a six-five chord above B, the
dominant, above which G4 is emphasized twice by its chromatic upper neigh-
bor, A♭4. This leads to a tonic chord in measure 114, from which point the
bass descends chromatically to the dominant, above which G5 is emphasized
twice by the syncopated statement of the turn figure A♭5–G5–F♯5–G5. The
subsequent prolongation of the dominant returns melodically to the lower
octave and the decoration of G4 by the same turn figure.
Example 5.7 provides an interpretation of the B section in relation to the
^
goal of the A section, 2/V. Most important is the prolongation of V by a chain
of descending major thirds: G–E♭–B–G, where the return to G in the bass is
introduced by the descent of a fourth from C. This bass motion—a Schubertian
^
trademark—supports a descent from the covering tone G5 to D5 (2), above
which G5 is decorated by an expanded statement of the chromatic turn figure.
It was noted earlier that the first change in the Aʹ section in relation to the
beginning comes in measure 140, where Schubert introduces the dominant of
E-flat major in place of the dominant in the tonic key. As shown in example
5.8, a foreground graph of measures 129–85, the overall melodic motion of the
b and aʹ phrases and the following extension of the cadence is the arpeggiation
from the covering tone G5/I (m. 137) through B♭5/V of ♭III (mm. 146–53)
to E♭6/♭III (mm, 154–58). Measures 158–66 prolong an E♭ harmony in first
inversion via two statements of c, and beginning in measure 166 a progression
of parallel sixth chords leads from E♭6 to A♭6, from which point Schubert
introduces the augmented sixth chord above A♭. Resolution of this chord to
the dominant coincides with the return to the opening idea (a″). Though 2^
is implied at this point, the stated D5 is part of an ascending motion to E5. As

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Beach.indd 112
Example 5.6. Quintet in C Major, D. 956 (III), foreground graph of mm. 57–129

2… " 57 64 72/80 82 90/98

B Nj N
N N N œ j #œ j
œ œ bœ œ œ bœ œ œ b œ bNœ œ b œ b œ œ b œ œ bœ b œ b œ bNœ œ b œ n œ # œ #œ
#œ #œ œ Nœ #œ
& ˙ ™™ œ bœ
bœ bœ
1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2! 1 2 3 4 1 2 3 4 1 2 3 4
? ˙ ™™ bœ œ œ œ œ œ œ œ bœ œ œ œ bœ œ œ bœ bœ œ nœ œ œ œ œ œ #œ œ
J J #œ
N
J
{ 6 6 8 !7 6 8 7
V 5 5 5

102 114 121/129

j j
œ œ œ œœ
#œœ nnœœ j nnœœ j bnœœ œ œ #œ œ nœœ b œ œ œ #œ œ nœœ œœ bœœ #œœ œ
&# œ bœœ œœ bœœ œœ œœ œœ
1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 5 6 7 8
? œ œ œ ∑ œ œ œ œ bœ œ bœ œ
J
{ G 6 6 6 4 6 H
# T 5 5 2 B 4
3
V

4/4/2017 4:36:29 PM
 three scherzo movements ❧ 113
^
Example 5.7. Quintet in C Major, D. 956 (III), prolongation of 2V

2… "
61 j
œ bœœ ##œœ n nœœ b œ œ nœœ œ #œœ œ œœ œ
& ˙

{ ? ˙ bœ nœ
G
#
œ
!7
T
6
œ bœ bœ
4
2
œ

indicated in the example, 2^ is actually stated an octave higher in measure 182

after the harmony has progressed to the tonic. A subsequent level of reduction
would align vertically the associations indicated here by diagonal lines.
Example 5.9 provides a middleground interpretation of the Aʹ section.
Following the procedure adopted in example 5.5, the graph here at a shows
the distribution of the melodic parts as stated in the music. At b the two
melodic parts have been inverted to place the fundamental line on top. This
second graph reveals the prolongation of the E♭ harmony (♭III) by a voice
exchange before the introduction of the augmented sixth chord. Both graphs
show the function of ♭III as the middle member of the arpeggiation of I to V.
This arpeggiation of I through ♭III to V suggests a second possible interpreta-
tion of the deep structure of this movement. If we interpret the dominant at
the end of the A section as a divider, then the fundamental harmonic structure
leading to the dominant at the point of retransition could be read as I–♭III (m.
^
57)–V (m. 121) supporting a fundamental line of E5 (3) passing through E♭5
^
to D5 (2), a motion that is then replicated in the Aʹ section, where it leads to
closure. I have chosen the other path, but this reading of the deep structure is
certainly a viable alternative.
I have not included a sketch of the coda (mm. 185–209), the main feature
of which is the harmonized octave progression from C5 to C6.
The trio of this movement is pure Schubert; in fact, I cannot imagine
anyone but Schubert having written it. There are several interesting paral-
lels with the second movement. First, there is a sharp contrast in the second
movement between the relative calm of the A section of the ternary design
and the extreme agitation of the B section. Here the character of the con-
trast is reversed; that is, the exuberance of the scherzo stands in sharp contrast
to the slow-paced reflective trio. (It is difficult to find just the right words to
describe my reaction to this trio. Yes, it is reflective, but it is also dark, and the
opening idea stated in open octaves is eerie.) Second, the cadences with their

Beach.indd 113 4/4/2017 4:36:36 PM

Beach.indd 114
Example 5.8. Quintet in C Major, D. 956 (III), foreground graph of mm. 129–85

129 137 146 153 158

A'
3…
a b a'
Nj b œœ b œœ œ œ bœ œ œ bœ bœ
>œ œ œ œ œ œ œ œ >œ œ œ >œ œ œ œ œ œ œ œJ œ œ œ œ œœ œ œ bœ >œ b œ œ b œœ œ bœ bœ œ bœ
& œ
N
I 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1
œ bœ œ œ œ œ
? bœ b œ œ bœ b œ œœ
œ œ œ œ bœ œ œ œ œ
˙ œ œ œ œ œ œ œ œ œ
6 5 4 # 6
{ 4 3 2
O V R ii O VR
I ¼III

158 166 174 181 185

(2)
… 2… 1…
c a" (duple pattern against triple meter)
bœ bœ œ bœ œ œ ˙ œ œ ˙
œ bœ bœ #œœ œœ œœ œ œœ n œ œ œ œ œ œ œ œ œ œœ
& œ bœ œ œ bbœœ œ bbœœ bœ œ œ
bœ œ nn œœ œœ ##œœ œ
II 1 2 3 4 1 2 3 4 1 2 3 4 5 6 7 8 1 2 3 4 1 2 3 4 1 2 3 4
? œ œ bœ œ œ bœ
œ œ œ #œ œ #œ œ œ bœ œ œ ˙ ˙ œ œ œ œ
J
{ N N N +6
¼III 5 V I

4/4/2017 4:36:38 PM
Beach.indd 115
Example 5.9. Quintet in C Major, D. 956 (III), underlying structure of mm. 129–85

3… 2… 1… 3… 2… 1…
a b
68 œœ bœ ˙ ˙ bœ
˙ œ œœ œœ b œœ #œ œ œ ˙ œ œ bœ œ
& œ œ & œ
œœ œ bœ œ œœ #œ nœ˙ ˙

10 10 10 10 10 10
5 6 5 N 5 œ bœ ˙ 5 6 5 N 5 œ bœ ˙
? ˙ œ bœ ˙ ? ˙ œ bœ J ˙
œ bœ J œ bœ
# 6 # !7
+6 6 +6
{ 5 5
I ¼III V I I ¼III V I

4/4/2017 4:36:46 PM
 116 ❧ chapter five

embellished suspensions recall those of the prayer-like cadences of the A sec-

tion of the second movement. Third, the sixteenth-note upbeat figure that is
characteristic of the opening idea of the trio and its repetitions recalls the use
of the same figure in the retransition to the varied repetition of the opening
section of the second movement. Finally, as will be described in more detail
below, the progression by descending step in the Aʹ section and following
retransition of this trio seems to mimic in part that of the retransition of the
second movement.
The A section of this trio consists of two parallel phrases, each having two
parts. The tonality of the opening four-measure idea, the descending gesture
in open octaves (viola and cello II), is not clear, though the implication is F
minor. The following elaborated cadence progression over open fifths (cello
II) comes as quite a surprise, not only because of the abrupt change of char-
acter, but because it establishes the key as D-flat major. The four-measure
cadence pattern is then repeated, the only change being the modal inflec-
tion of the subdominant. In the varied repetition of this phrase, the opening
gesture begins from a different pitch (F, the third of the local tonic) and the
tonality of the continuation, now shortened to three measures, is clear. The B
section begins with a four-measure idea that is repeated in varied form. The
harmonic progression of these four measures can be described as follows: vi–V
of vi–[III♮]–I–V–I. This is yet another example of Schubert’s fondness for jux-
taposing the major mediant chord with the tonic. Though the progression is
somewhat different, there is a parallel to the closing idea of the first movement
(mm. 400–404). What follows is strongly reminiscent of the retransition of the
second movement. Here the progression leads from I to V of E major (enhar-
monically ♭III), then a step lower of D major (enharmonically ♭II) before
cadencing in the local tonic (D-flat major). In the retransition of the second
movement, the progression beginning in measure 58 is [°7]F♯–[°7] E, which
then leads, albeit indirectly, to IV in E major. The following retransition of this
movement begins with a repetition of the I–V progression of D major, which
is then stated a step lower leading to the dominant of C major, the key of the
scherzo. This is followed by a seven-measure lead-in preparing the repeat of
the energetic scherzo.

Symphony in C Major, D. 944 (III)

The scherzo from the “Great” C-Major Symphony is larger in scale that the
other two movements examined in this chapter, and its form resembles sonata
form in at least one respect, namely that the A and Aʹ sections contain two
clearly defined themes. For this reason I will refer to its major sections as expo-
sition, development, and recapitulation in the following commentary. I have

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 three scherzo movements ❧ 117

also decided not to present a chart of its formal/tonal design, but instead to
discuss aspects of the formal design in relation to my interpretation of the
voice leading and hypermetric organization.
The first theme consists of two periods marked a and aʹ in example 5.10, a
foreground graph of the exposition. The a phrase (mm. 1–8) consists of two
parts labeled x (strings, mm. 1–4) and y (winds and brass, mm. 5–8). The first
idea consists of an ascending third, C4–D4–E4, and y establishes E5 as the pri-
^
mary tone (3), decorated by its lower neighbor. The hypermeter is clearly qua-
druple. I have notated a potential conflicting hypermeter in conjunction with
the flute statement of y, because conflict becomes more prominent in the fol-
lowing phrases. The second phrase (aʹ) is expanded, leading to a cadence on
the dominant in measure 29. It begins with a statement of x as before, but the
following statements of y suddenly shift to the key of B♭ (♭VII). The decep-
tive resolution to D56 chord in measure 24 initiates the extension of the phrase
and the local prolongation of V of V until the resolution to V in measure 29.
Throughout this passage, beginning in measure 19, there are two competing
hypermeters, the original one (lower line) and its shadow beginning two mea-
sures later (upper line). At the deepest level of structure 3^ (E5)/I has pro-
gressed to 2^ (D6)/V. The function of B♭ is interpreted as part of a descending
fourth in the bass leading from tonic to dominant, where the A is initially dis-
placed by F♯: C–B♭–(A)–G.
The second theme, measures 29–40, continues the presentation of dual
hypermeters with staggered entrances two measures apart, the initial statement
by the first violins (represented by the upper line of numbers) followed by
the cellos (lower line). The lower line represents continuation of the origi-
nal hypermeter. Beginning in measure 41, the extension of the dominant in
the key of G major (V), the shadow hypermeter disappears, leaving only the
original one to continue. The harmony in these measures is interesting. The
succession of chords may be represented as follows in the key of the dominant:
V56–V of iii (B minor)–V–iii–I♮7–[°7]–V7–I, the result being the association of
nonconsecutive harmonies, as shown by the curved dotted arrows in the exam-
ple. Overall, this second theme area supports a descending fifth prolonging D5
^
(2), though this fifth is never stated explicitly as a unit; instead it is distributed
registrally and over the span of the entire second part of the exposition (mm.
29–56). This is shown in example 5.10 by the broken beam. An overview of the
structure of the first section is shown in example 5.11.
The development section can be divided into three sections, each with sub-
divisions, based on thematic content: (1) measures 57–88 (initial development
of themes 1 and 2); (2) measures 89–112 (new theme plus transition); and (3)
measures 113–52 (further development of theme 2 and retransition). The first
section opens with an eight-measure statement of an A♭ chord that motivi-
cally is based on the initial two measures of x. As shown in example 5.12, a

Beach.indd 117 4/4/2017 4:36:51 PM

Beach.indd 118
Example 5.10. Symphony in C Major, D. 944 (III), foreground graph of mm. 1–56

129 13 29
3… 2…
Th. 1 Y Y
Fl. Fl.
a X Ob. œ œ œ a' X Ob. œ œ bœ œ
œ œ
Cl. œ Cl. œ œ b œ # œœ n œ̇
# œœ
œ
œ œ̇ œœ œœ œœ œœ œ œœ b œœœ
& œ œœ œ bœœ bœœ bœœ bœ bœœ œœ bbœœ #œœ œ bœ nœ œ œœ
œ œ œ œ œ œ
œ œ œ
Y 1 2 3 4 Y Y 1 2 3 4 Y 1 2 3 3 1 2 3 4
1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2
œ œ œ œ b œ œ
? ˙ œ œ œ œ œ œ œ œ œ œ
œœ œœ œœ #œœ œ œ bœ œ œ œ œ
œ œ œ œ œ bœ œ bœ bœ œ ˙ œ
!7 6 N H6 6 N H 6 7
5 ! # B 4 #
{
I V

29 41 181
Th. 2
5th
œ œ # œœ œ
œ œ #œ œ #œ œ œ œ #œ œ œ œœ œ #œœœ #œœ nœœ b œœœ œ œœ
& ˙œ œ
#œ œ œ œ œ œ œ œ œ œ œ œ œ ##œœ
3 4 1 2 3 4 1 2 3 4 1 2
1 2 3 4 1 2 3 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4
Vc.
4œ
? œœ œ œ œœ œ œ #œ œ #œ #œ œ # œ œ œ #œ œ
˙ œ œ œ #œœ œ
etc. œ œ œ œ œ œ #œ #œ œ #œ œ œ #œ œ œ œ #œ œ
{ œ #œ œ œ #œ
J
6 G
7 5 #
V of iii V iii I
§7 O o7 R V7 I
G (V): I V 7 7 I

4/4/2017 4:36:51 PM
 three scherzo movements ❧ 119

Example 5.11. Symphony in C Major, D. 944 (III), underlying structure of mm. 1–56

3… 2…
5th
˙ œœ bœœ œœ œ̇ œ œ œ œ
&
œ œ œ

{ ? œ̇

I
bœœ
#œœ
œ
œ
˙

foreground graph of the entire development section, these eight measures and
the following five-measure idea prolong C6 by its upper neighbor, supported by
the progression I–V7–I in the key of A-flat major (♭VI). So far the established
hypermeter has continued, but there is now a subtle one-measure shift at the
entrance of theme 2 (cellos), despite the valiant effort of the double basses to
continue the old order. That is, I hear successive hypermetric downbeats in mea-
sure 69 (the return to C6 and A♭) and measure 70 (the beginning of a new
idea). To a certain extent, one can hear conflicting hypermeters here (one mea-
sure apart); but beginning in measure 78, at the change of harmony to V7 in the
local key, the new order has taken over completely. This new order is short-lived,
however; twelve measures later (m. 89), there is a metric reinterpretation (4/1),
shifting the hypermetric downbeat back to its original position.
At measure 89, a new four-measure idea—which is subsequently repeated—
is introduced in the key of G-flat major, supporting a melodic motion of B♭5
to C♭6. This same idea is then stated a half-step higher, B5–C6 in the key of C
major. This is followed by an eight-measure transition (full orchestra, ff) leading
to a variant of theme 2 (strings) accompanied by a reminiscence of the open-
ing two measures of x, initially on D♭ (♭II). As shown in example 5.12, D♭ is
enharmonically changed to C♯ in measure 119, above which there is a 5–6 linear
motion creating the dominant of ii leading to ii in measure 131. The hypermeter
has temporarily shifted to sextuple in these measures, but at the arrival at V in
measure 137, it reverts to quadruple. Measures 137–52 prolong the dominant.
Much of the commentary about the development section has focused so
far on thematic/motivic content and key/harmony. Example 5.13 provides an
interpretation of the voice leading. Local key changes and melodic progres-
sions fit very neatly into a prolongation of the dominant, above which there
is a motion from the fifth to the seventh. The role of C major internal to this
motion is to provide consonant support for the passing tone E6 within the
^
ascending third D6 (2)–E6–F6. The dominant seventh chord does not resolve
^
to E6 (3) supported by tonic harmony until measure 193 at the return to
theme 2.

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Beach.indd 120
Example 5.12. Symphony in C Major, D. 944 (III), foreground graph of mm. 57–152

Hypermetric shift
shift back
57 70 89
Nj
b œœ bb œœ b œ b œ Nj œ bœ bœ bœ bœ
œ œ bœœ bœ bœ
b œœ bœœ bœ bœ bœœ œ bœœ œ
& bœ bœ bœ bœ
bbbœœ
œ œ œ œ bœœœ œ bœœ nœœœ bœœ œ bbbœœœ
œ
bbbœœœ bœœœ
œ œ bbbœœœ
œ bœ
1 2 3 4 5 6 7 8 1 2 3 4 1 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4/1
œ bœ bœ Vc. œ b œ b œ œ bœ
? bœ bœ bœ bœ bœ bœ bœ bœ
œ bœ bœ bœœ œ bœœ œ œ œ bœ œ bœ
N B N N
{ 4 3 B
!7
Ab: I V7 I V7

89 97 105 113
(Theme 2)
bœ bœ nœ nœ œœ œœ # œœœ œœ
bœ bœ bœ bœ bbœœ œ œ œ œœ b œœ #œœ
& bœ œ œ œ
bœ bœ
1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 5 6 1 2 3 4 5 6 1 2 3 4 5 6 1
œ œ œ
? bœ œ œ œ œ œ œœ œ œ bœ œ bœ œ
{ œ œ #œ #œ
!7 N !7 N 4 6 7 5 6
G (V): I V V 2 C: ( I ) iv ¼II ii
O VR

…
131 149 193 3
œœ œœ b œœ œœ œœ œ ˙
œ
&
1 2 3 4 5 6 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 thematic tonal
return return
? œ #œ œ ˙
œ œ œ
o V
{ O 7R
ii V7 I

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 three scherzo movements ❧ 121

Example 5.13. Symphony in C Major, D. 944 (III), prolongation of the structural

dominant
57 105 137 193
…2 " …3
cons. p.t.
N
œ œ œ œ œ œ œ œ
b œœ bb œœ œœ nn œœ œ œœ œœ b œ b œ # œ n œ œœ œœ b œ œœ
œœ̇ œ ˙
&

{ ? œ
˙
bœ œ bœ œ nœ nœœ
N
B
B
!
Ä
2
œ œ bœ #œ œ œ n˙œ #œ œ
6 5 N
( I )3 4
B
3
G
3
6 !7
˙

V5 7 I

The recapitulation, by which I mean the thematic return to the opening

material, begins in measure 153, but the tonal return is delayed until measure
193, a classic case of the nonalignment of formal design and tonal structure. In
example 5.14, a foreground graph of this final section of the scherzo, measures
153–92 are placed in parentheses to show that, from the perspective of struc-
tural voice leading, these measures delay resolution of the dominant, analo-
gous in some respects to examples of phrase expansion presented in chapter
2. This first theme area opens with a period consisting of two phrases. In com-
parison to the exposition the roles of winds versus strings is reversed; that is, x
is now stated by winds and y by strings. In the first four measures (x), the ascent
to scale degree 3 is harmonized by the progression i–iv6–V in A minor (vi), and
the following variant of y leads to ii in the original key. In the second phrase,
^
the variant of y leads to the tonic, but not to the structural return to 3. Overall,
then, these two phrases are united by a single progression: vi–ii–V–I. This is fol-
lowed by a sequence based on y and then a progression of parallel sixth chords
^
6–5 and the structural return to 3/I
leading to the cadential 4– 3 in measure 193.
The second theme is now stated in the tonic key by the first violins and
cellos accompanied by the winds with the opening two-measure segment of
y (which mimics rhythmically the opening gesture of x). The reduction of
these measures in example 5.14 shows multiple foreground melodic descents
of a third to scale degree 1; but it must be understood that in all these cases,
C is displaced by D initiating a descent in eighth notes to the G below, from
which there is a descent of a third back to E.5 These statements are followed
^
by a prolongation of the dominant supporting 2. This passage (mm. 205–20)
is analogous to the closing phrase of the exposition, in which the dominant is
intertwined with a suggestion of the mediant. Structural closure occurs in mea-
sure 220. This is followed by two statements of theme 2 (cellos) accompanied
by the winds and a final flourish (full orchestra, ff) leading to an echo of the
structural descent in the upper octave (flutes) in measures 233–35.

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Beach.indd 122
Example 5.14. Symphony in C Major, D. 944 (III), foreground graph of mm. 153–238

153
Theme 1
2… " X Y X Y sequence based on Y
…3 œ œ
œ œ œœ œ œ œ œ bb œœ œœ b œ bb œœ œœ œ
œœ œ
œœ œœ œ œ œ œ œ bbœœ œœ
& ˙ œœ œ
œœ #œœ nœœ œœ bœœœ #œœ œœ #œœ nœ
œ œ bœ bœœ œœ œœ #œœ nœ œ
1 2 3 4 1 2 3 4 5 6 7 8 1 2 3 4 1 2 3 4 5 6 7 8 1 2 3 4 1 2 3 4 1 2 3 4
œ œ œ #œ œ œ œ œ œ
? œœ œ œœ œœ œ œœ œ œ œœ œœ b œ œ œ œ #œ bœ œ œ œ œ
˙ œœ œ bœ œ œ œ bœ œ œ œ œ œ
7 6 # # +6 7 7 6 ! ! +6 7 N 6 6 N 6 N 6
{ 4 # 5
Ab: 3
O V R ii V I V

188 193 205 213

3…
Th. 2
b œ b# œœ n œœ œœ ˙ Vn. I œ œ œ œ œœ œ œ œœ œœ œœ œœ
œœ œœ œœ œœ b œœ b œ œ œ œ œœ œœ œœ œ œ œœ œ œ œ œœ œ œ œ œ œ œ œ œœ œ
& nœ œ œ œœ œ œ œ #œ #œ œ œ #œ
œœ œ œ œ
(1 2 3 4)
4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4
œ œ œ œ œ œ1
œ bœ œ œ œ œœ œ œ
œ œ œœ #œ œ œ#œ
? œ œœœ œ ˙ œ œ œ œœ œ œœ
œ œ œ œ œ œ #œ œ
œ œ
˙ Vc. œœ œ œ œ œ œ œ œ
8 7
{ 6 666 6 6 H
B
6
4
5
3
7 6
5
G
3
V I
213 220
2… 1… (3 2 1)
œ œ Nj nœ œ
œœœ œœœ œ œ b œœ b œœ œ̇ ˙ œœ œœ œ œ œ œœ œœœ b œ œœ # œœ n œ # œœœ nœ œœ œ œ œ œ
œ œ #œ œœ œ #œ nœ œœ œ œ œ œ ™™
& J
1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 5 6 7 8
œ œ
œ œ œ œ ˙ œ œ œ œ œ
? œ œ #œ ˙ œ œ œ œ
œ œ œœ œ œ œ œ œ œ œ œ ™™
9
{ 6 5 7
§ ! # § # § # § 7
I
(iii ) I!7 O o7 R 4 3 G
V V I I V7 I

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 three scherzo movements ❧ 123

The Trio offers a contrast to the Scherzo, but a far less dramatic one than
we encountered with the C-Major Quintet. The contrast is brought about by a
noticeable slowing of the harmonic rhythm and change of key from C major
(Scherzo) to A major (Trio). The A portion of this rounded binary consists of
three phrases. A prominent feature of the opening phrase is the neighbor-note
motion C♯–D–C♯, which is reharmonized a third lower (F♯ minor) in the ini-
tial portion of the varied repetition. The latter portion of this second phrase,
which is extended from eight to twelve measures, modulates to C-sharp minor
(iii). An interesting feature of this passage is the enharmonic use of the same
diminished seventh chord to lead first to V, then to iii. The final phrase begins
again in the tonic, twice moves to iii, then cadences on iii, the effect being that
we hear iii as an extension of the tonic, not a stable modulation. The B section
initially prolongs V7, first in the context of the major tonic, then the minor,
before modulating to C major (♮III), a reference to the Scherzo. A feature of
this latter passage is the neighbor-note motive transposed to C major, that is,
E–F–E, which prepares the introduction of D, the upper neighbor of C♯, har-
monized by the dominant, in preparation for the return. If I were preparing
a voice-leading graph of the Trio to this point, I would be faced with an inter-
esting choice regarding the role of the passage in C major. Does it prolong
the dominant, in which case the underlying progression is I–iii–V7–I? Or is the
motion from I through iii to V7 embedded within the progression I–♮III–V7–I?
I think the latter, but in either case the underlying harmonic progression sup-
ports a gigantic enlargement of the neighbor-note motive C♯–D–C♯.
The initial phrase of the Aʹ section is the same as in the beginning except
for a change in instrumentation, and the second phrase opens with a simi-
lar reharmonization of the neighbor-note motive as before. However, in the
latter part of this extended phrase, Schubert modulates to the key of B-flat
major (♭II). Here potentially is an opportunity to return to A major via the
V7/German 6th pivot, but Schubert elects in this case to take a less direct path.
The return to the Scherzo, like the introduction to the Trio, is accomplished
by an eight measure lead-in on the pitch E, the fifth of A major and the third of
C major, the primary tone of the Scherzo.

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 Chapter Six

Two Piano Sonata Movements

The subjects of this chapter are the first movements of the Piano Sonata in
A Minor (D. 845) and the Piano Sonata in B-flat Major (D. 960). The first of
these two was written in the spring of 1825 and published the following year
as op. 42, establishing Schubert as a serious composer for the keyboard. From
the perspective of form, this movement adheres quite closely to the “classi-
cal model” (my type 1 as described in chapter 4) with the modification that
there is an overlap between the development and recapitulation sections.
There are several other features of this movement that demonstrate items
presented in the first part of this book: the V7/+56 interchange, motivic devel-
opment, and phrase expansion. From a structural perspective, an interesting
issue is identification of the structural close. The interpretation presented
here suggests that the coda, which normally confirms closure, functions as
a gigantic parenthetical digression delaying closure until the very end. The
B-flat Sonata, written along with the sonatas in C minor and A major shortly
before his death, has become Schubert’s most famous and most frequently
performed work for piano. This movement is a prime example of the three-
key exposition (my type 2), one of Schubert’s innovations in the treatment of
sonata form. An important feature of this movement, the expansion of the
G♭–F motive into deeper levels of the design and structure, was discussed in
chapter 3. Another feature not yet discussed is the appearance of tonic har-
mony in conjunction with the opening measures of the first theme late in the
development section. This requires explanation. Also of prime importance to
this movement is modal mixture, particularly as it pertains to the interchange
of 3^ and ♭3.
^
But for me one of the most intriguing features of this movement
is the change in the musical narrative from relatively stable to unsettled. That
is, the frequent changes in register, fragmentation of ideas, and parenthetical
digressions at the end of the exposition and later near the end of the recapitu-
lation leave an impression that there is more to be said.

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 two piano sonata movements ❧ 125

Piano Sonata in A Minor D. 845 (I)

The exposition from the first movement of this “Grande Sonate”1 contains
three distinct thematic ideas in two tonal areas. These are labeled 1a, 1b, and 2
in table 6.1, an outline of the movement’s formal/tonal plan. All three themes
have the same formal organization, that of a musical sentence consisting of a
basic idea, its repetition (either at the same or at a different pitch level), and
a continuation leading to a cadence. In the first theme, the basic idea is stated
in measures 1–4. The repetition, which leads to the dominant, begins a step
higher, establishing a neighbor-note decoration of 5^ that becomes a funda-
mental motivic component of the movement. The continuation prolongs the
dominant until its resolution to the tonic in measure 26. An important feature
of this passage is the prolongation of V (E) by an F7 chord—an expansion of
the neighbor-note motive (N)—that threatens to take us to the key of B-flat
major until its function is changed to an augmented sixth chord, pulling us
back to the tonic key, A minor.2 The second idea (1b), which has the character
of a military march, presents a strong contrast to the opening theme. Its basic
idea (mm. 26–29) is in A minor and the repetition a third higher; the continu-
ation then confirms the modulation to C major (III). Theme 2 (the third idea)
is stated twice, the second time varied and considerably expanded by a paren-
thetical insertion. The initial statement consists of a basic idea (mm. 40–43),
its repetition a step higher (as occurred in the opening theme), and a continu-
ation to the cadence. The varied repetition differs in melodic content but is
based on the same harmonic progression as the original statement. The paren-
thetical insertion (mm. 63–76) that delays closure in the key of C major (III) is
based on the initial theme (1a). This is followed by a closing phrase based on
theme 1b and a motivic idea derived from 1a that I have labeled “x” because
of its importance later in the movement. This motivic idea is reproduced in
example 6.1. The return of fragments from both 1a and 1b at the close of the
exposition create the impression of a ternary design.
The development section is based entirely on theme 1a. The opening tran-
sitional passage, based on motive x, leads from C major (III) to D minor (iv)
in measure 105, the beginning of the development section proper. I hear the
following material divided into three large parts, indicated in table 6.1 by the
numerals I, II, and III, each of which has two or more subsections or phrases.
The first of these (mm. 105–45) contains two clearly differentiated phrases: (1)
development of 1a (r.h.), measures 105–19, which leads from D minor to V7
of F minor; and (2) development of 1a (l.h.) with new accompaniment above,
measures 120–45, which leads from F minor to V7 of F-sharp minor. The second
part (mm. 145–66) is sequential, consisting of three imitative phrases based on
the initial idea, the last extended: (1) measures 145–50 (F-sharp minor to V of

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 Table 6.1. Formal/tonal plan of the Sonata in A Minor, D. 845 (I)

Exposition
Theme 1a A minor
basic idea 1–4 i–V
varied repetition 5–10 ii–V
continuation 10–26 V...i
Theme 1b
basic idea 26–29 i
varied repetition 30–33 III
continuation 34–40 mod. to III
Theme 2 C major
basic idea 40–43 I–V/ii
varied repetition 44–48 ii–V
continuation 48–50 V–I
Theme 2 varied
basic idea 51–54 I–V/ii
varied repetition 55–59 ii–V
continuation 59–63 V...
(Parenthetical insertion)
basic idea of 1a 64–67 i–V
basic idea of 1a 68–71 ii–V–i
basic idea of 1a 72–77 6–5–I
i–V4–3
Closing statement
basic idea of 1b combined 77–90 I . . . V of a
with motive x
Development
Transition based on x 91–104 (III)–V of d (iv)
I. Initial development of 1a
dev. of 1a (r. h.) 105–19 iv–V7 of f
dev. of 1a (l. h.) with new 120–44 f–V7 of f♯
accompaniment

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 Table 6.1.—(continued)

II. Sequence 1: imitative treatment of 1a – ascending minor thirds

145–50 f♯–V7 of a
151–56 a–V7 of c
156–66 G (V of c)
III. Sequence 2 166–78 G –B♭ -C♯ -E
Overlap thematic return 178–85
(=18–25) Prolongation of V
Recapitulation
Theme 1b A minor
basic idea 186–89 i
varied repetition 190–93 III
continuation 194–99 leads to V7
Theme 2 A major
basic idea 200–203 I–V/ii
varied repetition 204–8 ii–V
continuation 208–11 V–I
Theme 2 varied
basic idea 211–14 I–V/ii
varied repetition/ 215–22 ii–V
continuation
Theme 1a A minor
basic idea 223–27 I–V
varied repetition 228–31 V–i
basic idea 232–37 I–V–VI
Closing phrases
basic idea of 1b and x 237–42 VI (F)–V
242–46 VI–V

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 128 ❧ chapter six

Table 6.1.—(concluded)

Coda
x extended 247–55 i–V
x extended 256–64 i–VI
idea based on 1b 264–70 VI–VI♭7/ +6/5
1b basic idea 271–74 i–V
x extended 275–83 I–o7
phrase based on 1b 283–303 leads to closure
x variant 303–11 i–V–i

Example 6.1. Piano Sonata in A minor, D. 845 (I), motive x

82 “X”
& j ‰
œ œœ œ œ œ œ œœ œ œœ œ œ œ
pp

A minor); (2) measures 151–56 (A minor to V of C minor); and (3) measures

157–66 (C minor to its dominant, which is extended). Sequentially these imita-
tive statements progress by ascending minor thirds from F♯ to A to C. The last
part is based on the final portion of the continuation of the initial sentence.
This section too is sequential, also progressing by ascending minor thirds from
G to B♭ to C♯ to E, the dominant (m. 178), initiating a restatement of the
bombastic close of the initial sentence, where the dominant was prolonged by
an F7 chord, which threatens once again to take us to the key of B-flat, but
instead functions as an augmented sixth chord pulling us back to the tonic via
the dominant. The recapitulation then begins with theme 1b in measure 186,
leaving statement of 1a until later.
The statement of 1b initially follows what was presented in the exposition
with the basic idea in the tonic and the varied repetition a third higher (III),
but the continuation this time leads to the dominant, preparing the state-
ment of theme 2 in A major. The statements of theme 2 and its varied rep-
etition lead to the dominant in measure 222. This initiates a statement of 1a
in A minor, and we might expect this to lead to closure following the clearly
6–5 in measures 235–36. Initially closure is avoided twice
articulated cadential 4– 3
by brief excursions to F major (VI) ending back on the dominant in measure
246. What follows is a coda, as indicated in table 6.1, but, as we shall see, this

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 two piano sonata movements ❧ 129

extended passage further delays closure until the downbeat of measure 303.
That is, the coda does not function to extend closure as a summary statement,
as is typical of this formal unit; from a structural perspective, all but the final
phrase is a gigantic parenthetical digression that delays arrival at the tonic.
Example 6.2 provides a foreground graph of measures 1–77. As already
noted, the varied repetition of the opening four-measure idea a step higher
^
creates an important motivic idea, the decoration of E5 (5) by its upper neigh-
bor: E5/I (m. 1)–F5/ii (m. 5)–E5/V (m. 10). This relationship is immediately
repeated in the continuation, first in measures 10–14, then an octave higher in
measures 14–18, and finally in the climax of the phrase where the F7 chord/
augmented sixth chord further extends the dominant before reaching the
tonic in measure 26. The following idea (1b) not only provides a sharp contrast
in character to the opening idea, but it also reverses the direction of the open-
ing descending third: here the ascending third is a fundamental component of
the basic idea and its varied repetition. The continuation leads to the cadential
6–5
4–3 and its resolution to the tonic in the key of the mediant. As indicated in
the graph, this harmonic progression supports the descent of the fundamental
^ ^ ^
line from 5/i (m. 1) through 4/V of III (m. 39) to 3/III (m. 40). Experience
tells us that we might expect the second theme to express a descending fifth
^
from the covering tone G5 to C5 (3) in the key of the mediant. Indeed this is
the case here, though the descending fifth is buried in an inner voice, shown
by the downward-directed stems connected by the broken beam in the graph.
Above this there is an ascending line from G5 to C6, which occurs first within
the prolongation of the local dominant, as indicated by the slur in the bass;
the real arrival is shown to come in measure 51, though only by implication in
that octave. This also occurs in the varied repetition, where the delayed arrival
comes in measure 70 in the lower octave. A feature of this varied repetition is
the expansion of the phrase by a fourteen-measure insertion delaying arrival at
the local tonic.3 The content of this insertion is shown in a separate graph (ex.
6.3). As noted above, this passage is based on statements of the opening idea.
Because we are now in the key of the mediant, the neighbor-note motive (N) is
expressed here as G–A♭–G.
A middleground graph of the development section is provided in example
6.4. At the deepest level of structure 3^ supported by III (exposition) progresses
to 2^ supported by V in measures 178–85, the overlap between development
and recapitulation. Harmonically the path from III to V is through iv (m. 105),
which supports the passing tone F5 in the descent of a third from the cov-
^
ering one G5 to E5 in preparation for the eventual reinstatement of 5. The
introduction of the subdominant is accomplished by a transitional passage
based on motive x. The initial development of 1a then leads from D minor
(iv) to F minor in measure 120, progressing from there to its dominant via an
augmented sixth chord. Eventually this passage will lead to the key of F-sharp

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Beach.indd 130
Example 6.2. Piano Sonata in A minor, D. 845 (I), foreground graph of mm. 1–77
10 26
5… “”
1a Nj
Nj
œ bœ bœ œ
˙ nœ œ œ œ œœ #œœ #œœ œ œ œ œ #œ œ œ bœœ œ bœœ œ #œ œœœ
& œ œœ œ #œœ #œ œ œ œ œ Nœj œ œ #œ œ œœœ #œœ œ
1 2 3 4 1 2 3 4 5 6/1 2 3 4 1 2 3 4 1 2 3 4 5 6 3 4 1
? œ œ œ œ œ œ œ œ œ œ œ œ œ œ
˙ œ œ #œ nœ œ œ œ œ œ JN œ
J J
{ +6 V +6 !7 6
V
!7 6 +6
V 6 5
4 4 #
a: i ii V i

26 40
4… 3…
1b
œ œ̇ œ̇
& œ œ nœœ bœœœ nœœœ b#œœ œ
œ œ œ œ œ ##œœ nnœœœ bœœœ #œœœ œœœ bœœœ œ
1 2 3 4 1 2 3 4 1 2 3 4 5 6 1
? œ #œœ œ œœ œœ
{ œ œ œ œ œ œ œ bœ bœ œ bœ œ #œ ˙ œ ˙

G Y !7 H 6 4 7 !7 6 5
# C: I # T 5 4 X V4 3
i III

40 51 77
2
œ œ œœ œ b œ n œœ œ Nœj œ œœ œ œ
& œ œ œ œ #œ œ œ œ bœœ œœ œœ œ œ œœ #œœ œ
œœ
bœœ œœ b œ n œœ bœ œœ œœ œ
œœ œ
5th 1 2 3 4 1 2 3 4 5 6 7 8/1 2 3 4 1 2 3 4 5 6 7 8 14 1
œ #œ œ #œ œ œ bœ œ #œ bœ œ
{? œ œ œ bœ œ œ œ œ bœ œ œ œ #œ œ œ œ œ
6 6 7 !7 4
# 5 # 5 3
I ii V I ii V I

4/4/2017 4:37:16 PM
 two piano sonata movements ❧ 131

Example 6.3. Piano Sonata in A minor, D. 845 (I), graph of mm. 62–77
63 77
N
1a j
bœ
bœ œœ œ bœ œœ œœ nœ bœ œ œ bœ
& œ #œœ œ œ œ œ bœ œ œ œ œ b#œœœ bœœœ œ
n œœ

{
œ
1 2 3 4 1 2 3 4 1 2 3 4 1

? œ œ œ œ œ œ bœ
bœ œ œ œ œ
J
N 5 N +6 N 5
4 § 4 6 5 4 §

minor for the next part of the development, the sequential imitative treat-
ment of the 1a idea beginning in measure 145. A more detailed account of
the connection between the dominant of F minor (m. 126) and the arrival at
F-sharp minor (m. 145) is shown in the insert above, the main feature of which
is shown between the staves—namely, a harmonic progression in F minor from
V to VI, which later becomes the dominant of F-sharp minor. A feature of this
passage not revealed by a voice-leading graph is the notated retard in measures
141–44 (sixteenth notes to eighth-note triplets to eighth notes) in preparation
for the imitative phrases, which progress mostly in quarter notes.
The initial phrase involving imitation between the right-hand and left-hand
parts progresses from F-sharp minor to V of A minor, a motion that is repeated
a minor third higher in the second phrase (A minor to V of C minor). However,
the third phrase does not continue this sequential motion, but instead prolongs
V of C minor, setting the stage for the second sequence, which progresses by
ascending minor thirds leading to the dominant in measure 178: G–B♭–C♯–E.
It is here that we find ourselves at a point equivalent to measure 18, having
bypassed all but the concluding measures—the climax—of the initial theme.
The recapitulation begins in the lower octave and, as shown in example 6.5,
a foreground graph of this portion of the movement, it gradually ascends to
E5 supported by V in measure 299 in preparation for the restatement of the
^
primary tone (5) supported by tonic harmony in the following measure with
the statement of theme 2 in A major. As was noted above in our consideration
of the exposition, this theme does express a descending fifth from E5, though
partially buried in an inner voice and covered by an ascent from E5 to A5.
Following the two statements of theme 2, theme 1a—elided at the outset of
the recapitulation4—is finally reintroduced in the original key. In measures
224–32 we hear once again the important neighbor-note motive at the original
pitch level: E5 (m. 224)–F5 (m. 228)–E4 (m. 232). Following the skip to the
lower octave in measure 232, the fundamental line begins its descent to clo-
sure. As shown in example 6.5, closure is twice avoided by deceptive progres-
sions (V to VI), another expression of the neighbor-note idea. Actual closure is
not achieved until measure 303, shortly before the end of the coda.

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Beach.indd 132
Example 6.4. Piano Sonata in A minor, D. 845 (I), middleground interpretation of the development

œ #œ œœ œ œœ #œœ œ
nœ #œœ
œœ
& nœ bœ bœœ bœ n œ œ bœœ œ nœ # œ
œ # œœ
f: V VI f#: V7 i
? œ œ bœ #œ nœ #œ œ
{ œ #œ œ #œ
8 !7 N 6 7 7 6 !7 7
4 F # 4 G
#

…3 …2 "
105 120 126 145 151 156 170 174 178 186

seq. 1 seq. 2 1b
œ œœ bœ œ œ œ nœ œ œ bœ
& ˙ œ œ œ bœœ œ nœ œœ #œœ œ #œ œœ #œœ œœ œ nbœœ bnœœ bœ bœœ #œ #œ nœœ #œœ #nœœ̇ bœ œ #œœ œ nœœœ #nœœ œ
# # œ #œ œ œ œ # œ# œ
(motive X)
œ bœ œ #œ ˙ œ œ œ œ
? ˙ œ bœ nœ œ bœ œ #œ #œ nœ œ œ œ bœ nœ #œ ##œœ ˙
œ J
3 N
{ 3
6 Y 7 G H H 3 3 !7 6 H 6 5
5 ! # #
3 # V 5 4 #
III iv V i

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Beach.indd 133
Example 6.5. Piano Sonata in A minor, D. 845 (I), foreground graph of the recapitulation

186 200 211

5…
1b 2 N
### œ̇ œœ œ nœ #œœ œ œj œœ
& œ #œœ n##œœœ #nœœœœ
œ œ̇
œ #œ #œœ œ œ nœ œ œ œœ œ
nnœœœ # œœœ œœœ bœœ nœœ œœ
œ œ #œ œ
1 2 3 4 1 2 3 4 1 2 3 4 5 6 1 2 3 4 1 23 4 1 2 3 4/1
#œœ œœ œœ œ œœ œœ ## œœ
? œ œ œ œ bœ ### œ
˙ œ œ nœ œ œ œ #œ nœ #œ œ œ ˙ œ nœ œ œ œ nœ nœ œ œ œ œ
{ #œ
G Y H 6 7 7 H H 7 vi
# T 5 4 ! 5 4 # O o7 R
i III V I O VR ii V7 V I

211 224 232

2 1a Nj
##œ œœ #œ œœ nœœ nœœ #œœ nœœ nœ nnn œ œ œ
&# # œœ œ ∑ œœ #œœœ œ œ œ œ #œœœ
nœ œ œ œ
œ œ
œ #œœ œ œ œ œ
1 2 3 4 1 2 3 4 1 2 3 4 5 6 1 2 3 4 1 2 3 4 1
? ### #œ œ œ nœ nœ œ #œ ∑ nœ œ nnn œ œ œ œ œ
œ œ œ
6
{ 5 # 7
I O VR ii VII V i V i

237 241 303

232 242 246
5… 4… 3… 2… 1…
N
j
& œ œ ˙ œ œ œ œ œœ œœ œ œ œ œ œ œ
œ œ ˙ œ œ œ # œœ ˙ œ ˙ œ œœ b œœ œ œ œ œ œ œ ˙
1 2 3 4 5 J 2 3 4 5
? œ œ #œ œ 1 #œœ
˙ œ œ œ ˙ œ œ œ œ œ œ ˙
J œ œ ˙
J
{ 6 5
i iv 6 V4 # VI V i

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 134 ❧ chapter six

Example 6.6. Piano Sonata in A minor, D. 845 (I), closure: (a) mm. 232–37; (b)
mm. 254–55; (c) mm. 272–74; (d) graph of mm. 274–303
232
5… 4… …3 …2
& œ j
œ
œ œ ˙ œ ˙ œ œ œ œ œ #œ ˙ œ œ̇
a.)

{
? œ
œ ˙ œ
œ
J
œ
œ
˙
65
#œ
œ
œ
œ
…
(1)

i iv7 6 V4 # VI

254 272
( …3 …2 ) … 3 …2
j
& & œ œ œ #œ œ
œ ˙ œ œ˙

{ {
˙ œ̇ œ #œ
b.) c.)
? œ̇ #œœ ?
˙ œ
œ œ˙ œ ˙
6 5
4 #
V i V4 #

274 283 303

2… …
(3) 2… 1…

#œ nœ # nœœ bbnœœœ nnbœœœ nœœœ n œ

bœœœ n##œœœ #œœœ # œœ # œ # œ ˙
#œ
& œ #œ̇

{
˙
d.)
? #œ ˙
˙ #œ œ œ œ œ œ nœ œ ˙ ˙

b (ii): V7 V7
8 7
bb (bii): +6 6 5 6 5
5 V4 3 4 #
+6
a: V 5 V i

Since the matter of closure is not immediately apparent, I have listed the
various “attempts” in example 6.6. First, at (a), is the descent from 5^ to 2^ in
measures 232–36 prior to the coda. This is the only attempt at closure in which
^
there is support for 4. Though that support (iv6) is rather weak, it must be
taken as the definitive descent, even though completion of the line is delayed
by a gigantic digression (the coda). The other three are from the coda, includ-
ing the final approach to closure (ex. 6.6d). This is an interesting passage with
suggestions of both B minor and B-flat minor, the final statement of the V7/+56

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 two piano sonata movements ❧ 135

interchange, and the F–E neighbor-note idea that is a fundamental compo-

nent of this movement.

Piano Sonata in B-flat Major, D. 960 (I)

The first movement of the Sonata in B-flat Major presents us with an excellent
example of the three-key exposition. Though we have already discussed this
portion of the movement in some detail in chapters 3 and 4, I would like to
review here some of the salient features of its main components. An outline
of the formal/tonal plan of the movement is provided in table 6.2. The first
theme has a ternary design: a (antecedent)–aʹ (consequent)–b–a″. The most
salient feature of the antecedent phrase is the unexpected sounding of the
low G♭ (trill pp) in the eighth measure, a germinal idea that is developed as
the movement unfolds. It also expands the phrase to nine measures in length,
which is answered by the nine measures of the consequent phrase. The follow-
ing b phrase, derived from a, is written over a G♭ pedal that resolves to F via
an augmented sixth chord at the return to the opening material (a″), a clear
expansion of the G♭–F motive introduced in measures 8–9. A notable feature
of this idea is the gradual increase in surface motion, requiring the change to
triplets in conjunction with the augmented sixth chord, a motion that contin-
ues in the inner voices in the a″ phrase. This phrase does not close in the tonic
key, which is avoided by the introduction of a diminished seventh chord above
the bass note F in measure 45, which enharmonically becomes the diminished
seventh of F-sharp minor, the initial key of the second theme. (Schubert will
return to this diminished seventh chord on more than one occasion later, inter-
preting it differently each time.) This initiates the second level of expansion of
the G♭–F idea. The first level of expansion occurs within the first theme: B♭
(a and aʹ)–G♭ (b)–F–B♭ (a″). The second level exists between themes: theme
1 (B-flat major)–theme 2 (F-sharp minor = G-flat minor)–theme 3 (F major).
The differences in the characters of the opening phrase and theme 2 are
significant. While the a phrase seems somewhat off balance due to the pre-
mature entrance of the dominant on the second beat of measure 6 followed
by the unexpected intrusion of the low G♭ in measure 8, it and its answer do
come to points of rest (the antecedent on V and the consequent on I), and
both express a clear tonality. By contrast, the second theme is tonally unstable,
vacillating between F-sharp minor and A major, finally settling on the latter
after the initial statement of the theme and its varied repetition. A feature of
the following phrase is the internal emphasis given to an F♯7 chord, which
locally elaborates A major but also has the potential to function enharmoni-
cally as an augmented sixth chord pulling us back to B-flat major. Though this
potential is not realized in the immediate context, we might hear the later two-
measure insertion (measures 70–71) as a delayed resolution of this potential.

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 Table 6.2. Formal/tonal plan of Piano Sonata in B-flat Major, D. 960 (I)

Exposition
Theme 1 B♭ major
a (antecedent) 1–9 I–V
aʹ (consequent) 10–18 I–V–I
b 19–35 ♭VI . . . +56
a″ 36–47 V–I–o7 of ♭vi
Theme 2 F♯ minor (♭vi)
theme (lh) 48–53 i–III–V7–i
varied repetition 54–58 i–[V7] III
theme (rh) 59–62 III
varied repetition 63–66 III
expanded repetition 67–80 III . . . F: [o7] V–I
Theme 3 F major
theme 80–86 I–IV–V–I
expanded repetition 86–99 I–IV–V ( ) –I
Closing section
closing idea 99–101 I–ii–V–I
expanded repetition 102–16 I–ii ( ) V–I
1st ending B♭: iv–V7
2nd ending 117 C♯ (♭iii): i
Development
Part 1
1. fragments of themes 1 and 2 118–31 c♯: I–N6–V–VI
2. sequence 1: new motive 132–50 A–g♯–B
B–b♭–D♭
Part 2
1. new idea 151–58 D♭–E
2. sequence 2 159–73 E–C–a♭
a♭–b–d
Part 3
1. new idea 174–87 d (iii in B♭)
2. theme 1 fragments (retrans.) 188–215 iii–V7

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 two piano sonata movements ❧ 137

Table 6.2.—(concluded)

Recapitulation
Theme 1 B♭ major
a (antecedent) 216–24 I–V
aʹ (consequent) 225–33 I–V–I
b 234–54 G♭/f♯: I/i–III7
a″ 255–66 B♭: I . b: [o7] V
Theme 2 B minor
theme (lh) 267–72 i–III–V7–i
varied repetition 273–77 i– [V7] III
theme (rh) 278–81 III
varied repetition 282–85 III
expanded repetition 286–98 III . . . V7 of B♭
Theme 3 B♭ major
theme 299–304 I–IV–V–I
expanded repetition 305–18 I–♭III–IV–V–I
Closing section [Coda]
closing idea 318–20 I–V–I
expanded repetition 321–45 I–IV (ii)–V–I
final phrase (from a) 346–57 I–V–I

This insertion leads to a diminished seventh chord in measure 72, the same
chord that earlier led us from B-flat major to F-sharp minor. Here this chord
functions as the diminished seventh of V in the key of F major (V), the key of
the third area, which begins in measure 80. Though the content of this area is
not really “thematic,” I will use the term theme 3 for lack of a more appropriate
description.
The original phrase of theme 3 is seven measures in length. Its repetition
involves both registral and metrical expansion, the latter suggesting the key
of E-flat major (IV), internal to which there is a harmonic digression toward
D-flat major. The closing section also includes brief digressions. This has a very
different character than the opening of the movement.
The development section seems to divide quite logically into three parts,
each divided into two subsections, as outlined in table 6.2: (1) measures

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 138 ❧ chapter six

18–150; (2) measures 151–73; and (3) measures 174–215. The first part
begins in the key of C-sharp minor with an idea based on parts of both themes
1 and 2. The deceptive resolution of the dominant leads to an A-major chord
in measure 131, where a new idea—an ascending arpeggiation figure—is
introduced in the bass with the accompaniment from theme 3—also based
on arpeggiation—above. This new figure is treated sequentially, leading
first from A major though G-sharp minor to B major and then from B major
through B-flat minor to D-flat major. The second part is based entirely on the
new idea, the arpeggiation figure, now stated in the right-hand part. The first
phrase of this section modulates from D-flat major to E major, the point of
departure for the second sequential treatment of the new idea, which leads
eventually to D minor. Following further development of the arpeggiation
figure, Schubert introduces a fragment of the opening theme (the first four
measures), first in D minor, then B-flat major (!) and then D minor again.
This middle statement of the thematic idea in conjunction with tonic har-
mony gives the fleeting impression of a real return. But the tonic harmony
is not stable; it is in first inversion. Furthermore it is the middle statement
between two in D minor. From the perspective of voice leading, this brief
suggestion of a return—this “teaser”—is the middle member of an expanded
5–♭6–5 motion above the bass note D that not only anticipates the real return
but prepares the reintroduction of the important F–G♭–F motive over domi-
nant harmony.
Overall, the recapitulation proceeds as we might expect, with only a few
minor alterations. The first change comes in the b section of the first theme,
which begins as before in the key of G-flat major (♭VI). However, in the fifth
measure (m. 239) the key is changed to F-sharp minor, which leads almost
immediately to A major, recalling the tonalities originally associated with the
second theme area. The return to B-flat major is accomplished by means of
a deceptive resolution of an A7 chord. The a″ phrase leads us back to the
now-familiar diminished seventh chord, which functions here as °56 of the
dominant in the key of B minor, the initial key of the second theme.5 This
second theme vacillates between B minor and D major, settling on the latter,
from which the music returns to B-flat major via our old friend, the dimin-
ished seventh chord, for theme 3. As before, the varied repetition of this idea
involves a parenthetical digression, this time in the key of A-flat major with
an internal suggestion of D-flat major. Finally, the closing idea is expanded
into a coda, which closes with a return to an altered version of the opening
idea. It is through this final statement that the movement achieves some sem-
blance of repose after the turmoil of the preceding measures resulting from
numerous registral changes, fragmentation (starts and stops) and parentheti-
cal digressions.

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 two piano sonata movements ❧ 139

Let us turn our attention to voice leading and related matters, beginning
with example 6.7, a foreground graph of the exposition. First, note that the
^
primary tone, D5 (3) is clearly established in the opening period, which proj-
ects a middleground parallel of the interrupted fundamental structure. In
the antecedent phrase, D5 is initially prolonged by a descending third, then
by its upper neighbor, before progressing to C5 (supported by V), which is
approached from below. In the consequent phrase, 2^ (C5) is introduced by a
descending third, E♭5–D5–C5. In both phrases I have shown the eighth mea-
sure as the “extra” one, expanding the normal eight measures to nine; this is
most obvious in the antecedent, where it is the introduction of the germinal G♭
that stretches the boundary of the phrase. In the “b” phrase, which, as already
noted, is derived from a, the primary tone is modally altered to ♭3^ supported
by ♭VI. Within this phrase, D♭5, which is initially prolonged, becomes covered
by the inner-voice tone B♭4 when it is temporarily transferred to the upper
octave. The return to the opening idea is accomplished via the augmented
sixth chord in measures 34–35, causing the a″ phrase to open over a dominant
harmony. This phrase does not close, but rather leads to the diminished sev-
enth chord that takes us to F-sharp minor, the key of the second theme.6
We have already discussed the unstable character of the second theme. From
a structural perspective, the local primary tone, C♯5, is enharmonically ♭3. ^

When the music finally settles on A, III in F-sharp minor, C♯ is covered by E. The
two-measure insertion in measures 70–71 not only recalls the tonic but also pre-
pares the return to the diminished seventh chord, which here leads to the domi-
nant of F major (V), the key of theme 3. Example 6.7 shows that the arrival at V
^
in measure 80 supports 2, though C is buried in an inner voice. The graph of the
initial statement of theme 3 shows a descending fifth in the inner voices covered
by a descending fourth from F5 to C5. The repetition of this idea begins in the
upper octave, but ends in the original one after a six-measure insertion that not
only digresses harmonically but moves back and forth between the two octaves.
The conclusion of this expanded phrase is followed immediately by the closing
idea, the first statement of which is cut short after three measures, as indicated
by my notation. The next statement is interrupted by a five-measure digression,
the last portion of which is repeated after the completion of the phrase. The
graph of these measures illustrates visually the fragmented nature of the close of
the exposition, a major contrast to the opening phrases.
A middleground graph of the exposition is provided in example 6.8. This
graph illustrates the interaction of 3^ and ♭3^ as well as the differing roles of the
^
latter. Initially it is heard as a modal coloration of 3, but later, when it appears
as ♯2 (C♯), it functions more like a chromatic passing tone leading to C♮ (2). ^

This graph also illustrates the two levels of expansion of the important G♭–F
motive from measures 8–9. The first level, internal to theme 1, is marked by

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Beach.indd 140
Example 6.7. Piano Sonata in B-flat Major, D. 960 (I), foreground graph of the exposition
10
Th. 1 3… 2… " 3… 2… 1…
a N a'
j
b ˙ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ nœ œ œ œ œ œ œ œ œ œ
&b œ œ œœ œ œ
œœ
œœ œ œ
œ œ
1 2 3 4 5 6 7 8 1 2 3 4 5 6 7 8
? bb ˙ œ œ œ œ œ œ œ
œ œ œ œ bœ œ œ bœ œ œ œ œ
bœ œ
{ NJ
Bb: I V , I V I

20 27 36
b3… 3…
“b” Nj N j a"
Nj œ bœ bœ œ œ bœ
b œ bœ bœ œ bœ œ
bœ bœ
œ bœ œ œ bœ bœ bœ
œ œ œ
& b œ bœ bœ œ bœ bœ bœ œ bœ œ
œ nœœ
œœ
1 2 3 4 5 6 7 8/1 2 3 4 5 6 7 8 1
? bb
{ bœ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ

+6 6
¼VI 5 V4

36 48
3… Th. 2
a"
b œ œ œ œ œ nœ œ œ œ œ œ œ #œ ### œ̇
&b œ œ œ œ œ œœœ nbœœœ œœ
#œœ # œœ œ
œ œ
1 2 3 4 5 6 7 8 1 2 3 4 1
? bb œ ###
œ œ œ bœ œ œ bœ œ œ œ œ bœ #œ œ
#œ
{
6 5 7 6 5 o7 7
V4 3 I § V5 4 3 O V R ¼vi

4/4/2017 4:37:40 PM
Beach.indd 141
Example 6.7.—(continued)

48 59 67
… varied rep. varied rep.
Th. 2 (b3)
## œœ œœ œ œœ #œœ œœ œ œ œ œ œ œ b œ œ nœ
&#
œœ
œœ œ œ œ œ #œ #œ œœ œœ œœ nœœœ œ œ œ œ nœ œ œ œ œ œ nœ
œ œ œ nœ #œ
1 1 2 3 4 Nj 5 1 2 3 4 N5 1 2 3 4 1 2 3 4 1 2 3 suggestion of Bb
œ œœ bœ œ œ œ
? ### œœ œ œ œ œ œ nœœ œœ œ œœ n œ œ œ œœ
nœ œ #œ œ œ œ œ œ nœ #œ œ nœ nœ œ nœ nœ œ
œ
7 4 6 4 6
{ A (III): V i vi V7 O V 6R vi V7 I # I I 2 iv I 2 V
f#/bg (bvi): i i i III III III III

86 registral and metrical variant of mm. 80 86

2… 80
Th. 3
œ œ œ œ œ œ n œ b œœ œ œœ œœ œ
b œ œ œ œ œ œœ œ̇˙ nœœ bœœ œ œœ œ œ œ œœœ bœ œœœ œœ œ
œ
& b nœœ œ N

4 1 2 (1 2) 3 4 1 Nj 2 3 4 5 6 1 2 3 4 5 6
? b bœœ œœ œœœ b œ œœ
œ œœœ œœ nœœ œ œ œ œ œ œ
b
#œ œ œ œ œ œ œ œ œ œ œ #œœœ
œ
œœœ œœ œ œ
˙ œ J
J
!7 6 5 7 4 6 5 6 5
{
f#: o7
6
7
5 4 3 2 4 3 4 3
F(V): O o7 R V 4 3 I IV V I IV V

92 99
IN Closing idea
j bœœ ∫ œ
b œ bbbœœœœ œœ œ bœœ nœœ nœœ
œ œ œ œ œ œ
& b bnœœœœ bœ bbœœ œœœ nnœœ bœ œ bbbœœœ bœœœ bœœœ œ œ nœ œ œœ œœ œ œœ œ #œ
J # œ n#œœ œ œ n œœœ nœœœ
8 7 J
6 5 6 5 7 8/1 2 3
/Db: IV V4 3, 4 3 0 nœ œ œœ œœ œœ œ œ œ
? bb œ œ œ bœ œ œ œ
bœ bœ œ nœ œ œ
J
{ o6 IV 6 5 65
(Eb: O 5 R V4 3 O V56 R V4 3 87
65 I +4 V I
V4 3 O 3 V7 R ii

4/4/2017 4:37:46 PM
Beach.indd 142
Example 6.7.—(concluded)

102
g
œœ œœ 1 2
n# œœ nn œœ œ #œ œ œ # œ œœ
b bœœœ bbœœœ œœ œ œ œ œœ bœœœ œœ œœ œ œ œ
œ œœ œ ####
&b bœœœ bœœœ bœœ nœ nœ
bœ œ œ n œœ œœ œ
™™ ##œœ
œ œ n œœœ #œ œœœ
1 2 3 4 4 (9 )
6 V7 ¼iii IV
OV4 R O R O V7 R ½iii O V7 R O V7R IV 3
nœœ œœ bœ nœ œ œ œœ œœ œ œœ œœ
{? bb œ œ œœœ #œœœ n#œœœ œœ
œœ œbœ œ œ bœ nœ œ œ œ ™™ nœ #œ ####

I ii V7 I V7 I

4/4/2017 4:37:50 PM
 two piano sonata movements ❧ 143

Example 6.8. Piano Sonata in B-flat Major, D. 960 (I), middleground graph of the
exposition
1 20 39 49 80
…3 (b3) §3 #2 = b3 …2
5
b ˙ bœ nœ œ #œ #nœœ œb nœœ
& b œ œ œ b œ bœnœœ œœ œ œ nœœ b nœœ #œœ n ##œœœ n œœ œ n œ n nœœœ nœœ œ̇œ bœ œ œ œ

{? bb
Th. 1

˙ bœ œ œ
J +6 6 5
4 3
œ œ
*

œ #œ
Th. 2

#œ
f#: i
œ
III
œ
o7
*
œ nœ nœ œ
nœ
Th. 3

˙ œ

o
F: O 7 R 6 5
V4 I
I ¼VI V I 3

I ¼vi V

the bracket below the bass (mm. 1–39); the second level is shown below by
the progression I (th. 1)–♭vi (th. 2)–V (th. 3). Finally, the brackets with aster-
isks highlight the first two uses of the same diminished seventh chord to bring
about the modulations to F-sharp minor and later F major.
A middleground graph of the development section is provided in example
6.9. This graph reveals a prolongation of the dominant from the close of the
exposition through the development supporting the covering motion 8–7 to
^
introduce the restatement of 3/I from above. This covering line originates with
^
the F5 above 2, which is prolonged until the introduction of E♭5/V in measure
206, as shown by the dotted slurs. I have indicated Schubert’s dynamic mark-
ings between the staves, because they reinforce the main divisions and subdivi-
sions of the development. Major points of arrival are at measure 149 (D♭) and
171 (D), both marked ff. Internal to the first part (sequence 1) the main pillars
(A–B–D♭) are loud (f), while the intervening steps are soft (p).7 From mea-
sure 154 to 171 (sequence 2) there is a gradual crescendo corresponding to the
ascent from the lower octave to A5 and beyond, temporarily overshooting F5,
which is reinstated in measure 188. The motion 5–♭6–5 above D in measures
188–206 represent the three statements of the opening four-measure segment
of “a” prior to the introduction of E♭5 supported by the dominant, which is
decorated by the G♭–F motive, anticipating the return to the opening theme.
Finally, I have provided a foreground graph of the recapitulation (ex. 6.10).
Though this graph is extensive, I have attempted to keep it from being longer
by condensing those sections that are the same as in the exposition. And I
will keep my comments brief. The first important change is the modulation
to F-sharp minor and from there to A major in the “b” section of theme 1,
recalling the keys of theme 2 in the exposition. From a structural perspective,
this change prolongs ♭3, ^
altering its notation from D♭5 to C♯5. As already
noted, the second theme is a fifth lower than in the exposition, beginning in

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Beach.indd 144
Example 6.9. Piano Sonata in B-flat Major, D. 960 (I), middleground graph of the development

…2 " …3
131 140 149 154 158 163 167 169 171 173 188 206 217

b œ bœ nœ œ œ nœ œ œ bœ œ ˙
& b œ̇ #œ œ œ nœ ##nœœ #œœ bœœ bœœ bœœ
n œ nœ b bœœœ bbœœœ n##œœœ nœœœ nn#œœ nœœ nœ bœ œ œ bœ œ œ œ
œ œ #œ œ œ bœœ #nœœ n#œœ nnœœ n n œœ
p f p f p ff pp p cresc. ff p
3
œ
? bb œ bœ œ nœ nœ nœ nœ bœ bœ #œ nœ œ œ nœ
˙ #œ œ ‹œ #œ #œ nœ œ bœ bœ bœ ˙
˙
{ 6
5
7 6
5
!7 7
#
4
3
4
3 3
5 6 5 6
5
!7 6
3
V8 7 I
sequence 1 sequence 2

4/4/2017 4:37:57 PM
Beach.indd 145
Example 6.10. Piano Sonata in B-flat Major, D. 960 (I), foreground graph of the recapitulation
235
3… b3 3…
a b N j a'
j N j #œ œ nNœ œ #œ œ
b ˙ œ œ bœ œ œ bœ bœ #œ œ œ nœ #œ œ nœ œ #œ œ #œ nœ #œ nœ
&b œ nœ J #œœ œœ œ
216 34 1 2 3 4 1 2 3 4 5 6 7 8 1 2 3 4 5 6 7 8 255 262
? bb ˙ œ œ œœ
{ bœ œ œ œ #œ œ #œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
V7 VI
Gb: I f#: i III/A: I IV
Bb: I I

263 267 273

Th. 2 varied rep. N
j
Nj œ œ œ œ œ œ œ
b œ #œ ## œ
& b œœœ bn œœœ nœœœ #œ #nœœ # œ œ œ œ œ œ
œ œ œ œ œ œ œ œ œ œ œ œ œ œ
1 2 3 4/1 1 2 3 4 5 1 2 3 4 Nj 5
o 4 = O o6 R 65 œ œ
3 5 V4 3 i œ œ œ œ œ œ œ #œ œ œ œ œœ œœ œ
œ œ œ
œœ
?b ## J
b œ œ bœ #œ #œ œ 7
i III 6 i OVR III
{ 5
V b: i (5th lower than exposition) D: I V7 I

278 286 293 299

3… 2… 1…
# œ œ œ œ œ #œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ nœ œ œ
œœ œœ œœ œ
&# #œ œ œ œ bb
1œ 2œ 3 4 1 2 3 4 1œ œ3 4 5 1œ 2 3 4 5 6œœ 1
? ## œ œ œ nœ #œ œ n œ bœ2 œ nœ bœ œ b6œœ # œœ œœ
œ œœ œ œ
{ bb
I iv 6 7
D: I 7 Bb: vi 6 O o4 o6 R V6 5 I
# 3 5 4 3

4/4/2017 4:38:04 PM
Beach.indd 146
Example 6.10.—(concluded)

299 305 318

Th. 3 “” 1…
œ œœ b œœ b œœ n œœ œœ
bœ œj œ œ œ b œœ œ œœ œœ œ œœ œœœ b œœ œœœ œ
œœ œ b œœ œ œœ œ
œ œ
bœœ œ œœ œ bbœœ bbbœœœœ b œœœ bœ
œœ œ
& b œœ bœœ Nœœ œœ œœ J bbœœ œ nœ b œ bb œœ bbœœœ bœ œ nœ
J N 65
1 3 4/1 2 3 4/1 2 3 4/1 2 3 Db: IV V4 3 œ œ
œ2 œ œœ nœœ œ œ œ œ œ œ nœ œ 4/1
? bb œ bœœ œœ œ œœ nœœ bœœ œœ nœœœ bbbœœœ bœœ œ bœ bœ nœ œ œ œ
J J J 65
{ 5 !7 6 5 6 6 65 5 6 5 (Ab: IV V4 3 IV 6 65 )
4 3 4 R 43 3 4 3
O V5 R V4 3 7
I IV V I IV V V I

318
Closing 3… 3…
g “”
idea #nn œœœ nn œœ œœ 3… œœ œ
b œ œ œ œœ œ œ œ œ #œ œ bœœ œ bœœ nœ œœ #œ bœœ œ #œ œœ œ œ œ #œ œ œ
&b œ œœ # œ nœœ œ nœœ bœœ bœœ bœ œ œ œ bœœ œœœ œ
œ œ œœ n œœ œœ œœ # œ œœ œœ œ
1 2 1 2 3
4 7
1 2 3 1 2 Db: O V 3 R V i D: V7 i Eb: V I 3 4 1 2 3 4
œ œ œ œ œ4
œ bœ œ œ œ œœ b œœ b œœ œ œ
œ 3 œœ
œ œ
? bb œ œ œœ œ bœ nœ œœ œœ
{ œ œ nœ œ
I ii V I I ii IV V7 I O V7R IV V7 I
I Q

335 345 3… 2… 1…
(Theme 1) N Nj
bœ j
bœ œœ œ œ œ œ œ œ œ œ œ ˙ ˙ œ œ œ
&b œ nœœ œœ œ œ œ œ œ œ œ œ œ œ ˙
œ œ
w
4œ 1œ 2œ 3œ 4 5 1 2 3 4 5 1 2 3 4 5 6 7 8 1
bœ œ œ
? bb œ œ œ œ œ ˙
œœ
œ
œœ
œ
œœ
œ
œ œ ˙ œ
bœ œ ˙ œ œ œ
{
I O V7 R ii V8 7 I I V I

4/4/2017 4:38:09 PM
 two piano sonata movements ❧ 147

B minor and settling eventually on its third, D major, Beginning in measure

286, Schubert rewrites the varied and expanded repetition of this idea to lead
us back to the tonic for theme 3. There are two features of this transition of
potential interest beyond the fourth and final enharmonic use of the noted
diminished seventh chord to bring about the change of key. First, I have indi-
cated measure 292, where Schubert changes the spelling of the diminished sev-
enth chord, as an extra measure in the hypermetric organization, similar to my
interpretation of measure 252, which prepares the shift to the lower octave but
otherwise seems to be the extra measure in relation to the underlying duple
pattern. Second, the completion of the modulation supports a clear descent to
closure, which I have notated as a middleground event anticipating the struc-
tural descent in the lower octave at the very end of the movement.
Theme 3 proceeds as in the exposition, now in the tonic key, with the varied
repetition expanded by a parenthetical insertion delaying local closure until
measure 318. Once again the music has led to local closure, but 3^ is immedi-
ately reinstated in the closing idea. As before, this passage is very unsettled,
involving first an abbreviated statement of the closing idea, then a varied
statement interrupted by parenthetical digressions and registral changes.
The movement refuses to come to rest until it settles into the altered state-
ment of the opening idea beginning in measure 345. The movement ends as
it began, pp.

Beach.indd 147 4/4/2017 4:38:13 PM

 Chapter Seven

Two Quartet Movements

We will be examining two movements from the late quartets in some detail in
this chapter: (1) the first movement from the Quartet in A Minor, D. 804, often
referred to as the “Rosamunde” Quartet, since the theme of the second move-
ment is based on one from the incidental music for Rosamunde; and (2) the first
movement of the Quartet in D Minor, called “Death and the Maiden” because of
the set of variations in the second movement based on Schubert’s Lied “Der Tod
und das Mädchen.” Both quartets were written in 1824, the A-Minor in February/
March and the D-Minor immediately thereafter. The “Rosamunde” was dedicated
to Ignaz Schuppanzigh, the first violinist in a quartet that premiered several of
Beethoven’s as well as Schubert’s quartets; the first performance was on March 14,
1824. The “Death and the Maiden” Quartet received its initial reading almost two
years later in January 1826; the second reading was in the home of the composer
Franz Lachner, with Schuppenzigh leading. Both quartets are in the minor mode,
but their characters are quite different. One might describe the A-Minor Quartet
as melancholy, but the mood of the D-Minor is darker, even despairing—a reflec-
tion of Schubert’s contemplation on his own mortality and impending death.

Quartet in A Minor, D. 804 (I)

In some respects this beautiful movement is one of the most conservative—that

is, least innovative—of Schubert’s late works, but that by no means implies it is
lacking in interest. For example, it demonstrates many of the items discussed
in chapter 2 regarding hypermeter (changing hypermeter, metric reinterpreta-
tion, and successive downbeat measures) and phrase expansion, both external
and internal. Regarding the latter, this movement contains clear examples of
phrase expansion resulting from repetition of a segment of a phrase, exten-
sion of a single harmony (often chromatically transformed in the process), and
parenthetical insertion. This movement also offers an interesting study in the
employment of motives, both pitch and rhythmic types.

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 two quartet movements ❧ 149

An outline of the formal and tonal plan of this movement is provided in

table 7.1. Earlier it was noted that this movement is “classical” in its formal and
tonal design. The first theme is characterized by the recurrence of an impor-
tant motivic idea, the descending arpeggiation of the triad E5–C5–A4 in its
initial statement, and a persistent accompaniment figure consisting of a dotted
half note followed by four sixteenths. Formally the first theme area consists of
three phrases with an a–aʹ–b pattern, where it must be understood that “b” is
derived from a. The following phrase sounds initially as if it will become the
transition to the new key and theme, but instead it leads to a perfect authentic
cadence in the tonic key, and for this reason has been labeled as a “confirm-
ing phrase” in table 7.1. This is followed by the transition, a sequential passage
based on the arpeggiation motive, which leads to the dominant of the new key,
C major (III). The remainder of the exposition consists of three phrases in an
a b aʹ pattern, where the first and third phrases consist of statements of theme
2, and the second one, which is sequential, serves a connective function. The
first phrase has an antecedent–consequent design, in which the two melodic
parts (violins 1 and 2) are exchanged. In the third phrase, which is extended
by a parenthetical digression, the lower two instruments state the melodic com-
ponents of the theme. This is followed immediately by the first ending, which
progresses from III to V in preparation for the repeat of the exposition; the
second ending connects III to iv.
Following the initial transitional passage leading to D minor (iv), the devel-
opment section is divided into three phrases followed by a retransition. The
first phrase is a statement of theme 1 in the key of D minor (iv) that leads at
the last moment to F minor (vi). The second phrase, which involves imitative
treatment of the tail (the final portion) of the first theme in the outer voices,
leads from F minor to C minor (iii), and the third phrase, which continues the
development of the final portion of the first theme and prepares for the return
to D minor. However, Schubert avoids resolution to the subdominant by sub-
stituting the diminished seventh chord (ff) in measures 140–41, which initiates
the retransition with a return to the arpeggiation motive and the persistent
rhythmic accompaniment of dotted half note followed by four sixteenths.
The recapitulation generally follows the pattern of the exposition with the
following notable changes. First, Schubert omits the second phrase of the first
theme, the result being an a b pattern, and the following phrase, which in the
exposition had led to a perfect authentic cadence in the tonic key, is rewritten
to lead to E minor, the minor dominant. Then the following transition leads to
the major dominant in preparation for the second theme in the major tonic.
In short, Schubert arrives at the goal we might have predicted, but the path
to that goal is far from predictable harmonically. The second theme then fol-
lows closely the pattern established in the exposition, now in the major tonic.
However, this extended passage in A major turns out to provide only temporary

Beach.indd 149 4/4/2017 4:38:14 PM

 Table 7.1. Formal/tonal plan of the Quartet in A Minor, D. 804 (I)
Exposition
Theme 1
a 1–10 a: i→V
aʹ 11–22 i→V
“b” 23–32 I–V–i
confirming phrase 32–44 i–♭II–V–i
Transition (sequence) 44–58 i–iv6/C: ii6–V
Theme 2
a phrase 1 (theme) 59–63, 64–69 C: I–V, I–V–I
b phrase 2 69–80 I...V
aʹ phrase 3 (theme) 81–100 I( )VI
Ending 1 101–5 a: III–V

Ending 2 101–9 III [V] iv

Development
phrase 1 (theme 1) 109–18 iv [V] vi
phrase 2 119–30 vi [V] iii
phrase 3 130–40 iii . . . o7 (sub. iv)
Retransition 140–66 o7 . . . V7
Recapitulation
Theme 1
a 168–77 a: i→V
“b” 178–87 I–V–i
modulating phrase 187–99 I [II♭6 V] v
Transition (sequence) 199–221 v . . . V7
Theme 2
a phrase 1 222–26, A: I–V, I–V–I
227–32
b phrase 2 232–44 I . . . V–I
aʹ phrase 3 244–65 I ( ) V–I
Coda 266–75 a: i–V–i
theme 1 extended 275–96 i–V–i

Beach.indd 150 4/4/2017 4:38:14 PM

 two quartet movements ❧ 151

relief from the overriding sense of melancholy and pathos of this movement.
The coda returns to A minor and a final (extended) statement of the opening
theme with its persistent accompaniment. The movement ends with one final
statement of the E–C–A motive in the bass as an elaboration of the standard
V–I cadence. It seems as if the motive and whatever it may represent insist on
having the final say.
A foreground sketch of the first theme area and the following transition is
produced in example 7.1. The first theme is preceded by a two-measure intro-
duction that establishes the key/mode, the accompaniment pattern and the
affect of the movement. The following a phrase is eight measures in length,
clearly divided into 4 + 4 by the harmony and melodic content, thus estab-
lishing a quadruple hypermeter. Melodically E5, the primary tone of the
movement, is prolonged by a descent of a third over tonic harmony and an
ascent from B4 back to E5 over the dominant. The opening motivic gesture,
E5–C5–A4, is marked with a bracket to highlight its importance. In the fol-
lowing phrase, the primary tone is decorated by its upper neighbor—first F5,
then F♯5 twice—the first suggestion of the major mode asserting its influence,
though this tendency is immediately negated by the remainder of the phrase.
The curvy line indicates that the main melodic part is transferred to the inner
voice at this point, and I have indicated that the hypermeter may be under-
stood to operate at two levels beginning in measure 15. Most obvious is the
continuation of the quadruple hypermeter (top level), but it is also possible
to understand these eight measures as an expansion of four (lower level), first
by repetition of measures 15–16 (left blank in the example) and then by the
prolongation of the predominant harmony—the transformation of ♭II into an
augmented sixth chord—by the noted chromatic voice exchange.
The earlier brief suggestion of the major mode is developed in the fol-
lowing b phrase (mm. 23–32), though it ends in the minor mode, which is
strongly confirmed by the following phrase. Overall the melodic gesture of this
b phrase is a descending fifth from E5 to A4. Initially, E5 is prolonged by a
covering motion to A5 in the first metric unit; the second half of the phrase is
then expanded from four to six measures by the prolongation of the subdomi-
nant by means of a voice exchange which melodically leads to D5 and the con-
tinuing descent to local closure. Note the temporary change in the hypermeter
from quadruple to triple in what I have labeled the “confirming” phrase. Once
again we hear the extension of the predominant harmony iv5-♭6, above which
A5 is established as the local melodic goal by the chromatic double neighbor-
ing motion B♭5–G♯5. This is followed by the transitional phrase leading to the
dominant of the new key, C major (III). The initial portion of the phrase is a
sequence by descending fifths, which consist of overlapping statements of the
arpeggiation motive (indicated by brackets) leading to V in A minor. In the
second part of the phrase, the dominant is extended by a 5–6 motion, which

Beach.indd 151 4/4/2017 4:38:15 PM

Beach.indd 152
Example 7.1. Quartet in A Minor, D. 804 (I), foreground graph of theme 1 and transition (mm. 1–58)

11
5…
a a' Nj Nj
œ #œ œ œ œ œ œ œ œ #œ œ
&
˙ œ œ œ œ œ œ œ #œ œ œ œœ #œ œ œ œ œ #œ œ œ bœ œ
œ œ œ œ #œ œ #œœ
1 2 3 4 1 NJ 2 3 4
( ) 1 2 3 4 1 2 3 4 1 2 3 4 , 1 2 (1 2) 3 4
jN jN bœ œ
? œ nœ œ nœ œ œ #œ œ
œœ œ
˙ œ œ
œœ
œ
œœ
œ œ œ œ œ
œœ
œ
œœ œ
NJ J
{ i V5 6 6 i
7
G 6 II N iv H V
3 4 # #

23 32 44
5th confirming phrase
IN
b j
j œ bœ bœ œ #œ œ
œ #œ # œœ #œ #œ œ œ #œ nœ #œ œ œ
&
œ #œ œ #œ
J œ œ œœ #œœ #œœ œ œ œœ bœ œ œnœ
nœ œ œœœ œ bœ œ
œ J
7
1 2 3 4 1 2 3 4 5 6/1 2 3 1 2 3 1 2 3 4 5 6 1
? œ œ œ bœ œ nœ
œ œ œ œ #œ œ #œ œ #œ œ œ œ œ œ œ J œ
{ œ œ œ
6 G 6
5 # 5 # 6 6 5 6 5
I IV V4 3 i iv5 II N V4 # i

Transition
44 6th 4…
œ œ œ œ
œ œ œ œ œ œ œ œ #œœ œ œ œ œ̇
œ œ œ œ
œ œ œ #œ œ œ
& œ œ œ
œ œ œ #œ nœ œ
œ nœœ œœ œœ
1 2 3 4 5 6 7 8 (7œ œ 8) 1 2 3 4
? œ œ œ J œ œ ˙
œ œ œ
œ œ
{ œ J J
a: i iv VII III VI ii V5 5 6
C (III): I 6
ii 5 V

4/4/2017 4:38:15 PM
 two quartet movements ❧ 153

introduces a C-major chord in first inversion followed by ii6–V in the new key.
Melodically the top voice descends a sixth from E6 to G5 in preparation for the
second theme. This motion covers a progression of the fundamental line to D5
^
(4) supported by V of the new key.
Foreground sketches of the three phrases of the second theme area are
provided in example 7.2. The initial phrase is divided into subphrases in an
antecedent–consequent relationship. The hypermeter here is interesting.
Though each subphrase clearly begins with a downbeat measure, the subse-
quent melodic gestures turn this initial measure into an upbeat to the follow-
ing measure, the result being successive downbeat measures (11234 rather
than 12345). The melodic component of the phrase consists of two voices (vio-
lin 1 and violin 2). The main part, marked dolce, is initially stated by violin 2;
it consists of the melodic ascent of a third to G4 followed by the leap to E5,
which is initially prolonged by its upper neighbor. The stepwise continuation
as shown in the graph involves connections between two parts. The top-sound-
ing part prolongs the covering tone G5 by its upper neighbor. In the conse-
quent subphrase, the parts are inverted. The inner part descends a fifth, which
is the primary melodic gesture of the second theme, while the top-sounding
part prolongs E6 by its upper neighbor before descending, at least by implica-
tion, to C6. The initial portion of the second phrase involves overlapping state-
ments of chromatic ascending fifths in the lowest part that support descending
fourths from C6 to G5 and G5 to D5. Beginning in measure 75, the hyper-
meter becomes duple while the top part ascends by a series of thirds from F5
to G6, from which point the melodic line descends a fifth, though Schubert
avoids local closure by not completing the descent, instead beginning a restate-
ment of theme 2 by the lower two parts. From a melodic perspective, the top
part of the first subphrase of this third phrase descends an implied octave from
the avoided C6 to C5 (also avoided!), and in the consequent subphrase the
top part begins its final descent of a fifth from G5 to C5.1 Once again Schubert
avoids completion of the descent, this time by a seven-measure digression in
the key of A-flat major (♭VI in the local key).2 Arrival at C5, 3^ of the fundamen-
tal line, comes in measure 98, but the local tonic harmony is in first inversion
at this point, requiring two more measures to come to a point of stability.
Example 7.3 is a foreground graph of the development section. The first
phrase (mm. 101–9), initially based on overlapping statements of the arpeg-
giation motive, serves to modulate from C major (III) to D minor (iv); melodi-
cally the top voice descends from G5 to D5, which is then covered by A5, the
fifth of the local key, for a statement of the first theme in D minor. Measures
109–10 function as a lead-in to this statement of the first theme just as mea-
sures 1–2 functioned to introduce the initial statement. The subdominant
statement of the theme progresses as initially stated until the seventh measure,
where Schubert suddenly shifts to F minor (the minor submediant). From the

Beach.indd 153 4/4/2017 4:38:21 PM

Beach.indd 154
Example 7.2. Quartet in A Minor, D. 804 (I), foreground graph of theme 2 (mm. 59–100)

59 69
Nj
Nœj œ œ œ œ œœ œ
œ œ œœ œœ œ œ œ œ œ œ œ œ œ œ œ œ œ
& œ J œ œ œ
œ œ œ œ œ
N "
1 1 2 3 4 1 1 2 3 4 1
? œ œ œ œ œ œ œ œ œ
œ œ œ œ
J
{
C (III): I 6 5
J
6 5
ii 6 V4 3 , I ii 6 V 4 3 I

69 75 32 5th 81

œ bœ œ œ œœ # œœ œ n œœ
œ œ œ œ œ œ
œ œ œ nœ œ œ œœ œ
œœ œ
& œ œ œ œœ œ
1 2 3 4/1 2 3 4/1 2 1 2 1 2 1
œ nœ œ œ œ nœ
? œ œ bœ nœ œ #œ bœ nœ œ #œ œ œ œ œ œ #œ œ œ
œ œ œ
{ J
6 6 6 6 6 6 !7 G 7
5 5 5 5 # #

81 86 5th 98
Nj N 3… “”
œ bœ œ œ j œ œ œ
œ œ œ œ
œ œ œ œœ œœ œ œœ œœ œ œ œœ
œ
œœ
œ
& œ œœ J œ œœ œœ œœ ˙ œ
“” œœ œœ
N 7 measure insertion
1 2 3 4 1 1 2 3 4œ 1
in Ab (bVI in C).
1œ
#œ œ œ nœ œ #œ œ œ nœ œ
? œ œ œ œ œ J œ œ œ œ œ ˙
{ J J

I 6 6 6 IV 65 I 6 6 6
B 5 5 V4 3 5 65
I I ii 6 V 4 3 I 6 V7 I V7 I

4/4/2017 4:38:21 PM
 two quartet movements ❧ 155

perspective of long-range melodic connections, G5 (III) has progressed to A5

(iv) to A♭5 (vi). Because of the imitative overlapping statements of the final
segment of the theme in the following phrase, we temporarily hear conflict-
ing metric groups as indicated in the graph. Initially this passage prolongs
A♭5 and the supporting F-minor harmony, which subsequently is treated as
the subdominant in the key of C minor (the minor mediant). (Note that all
the keys here are minor: D minor, F minor, and C minor.) As shown in the
graph, this F-minor harmony is transformed into an augmented sixth chord by
a chromatic voice exchange (mm. 126–28), thereby returning the top part to
G5 once again, now supported by V–i in C minor.
The passage beginning in measure 130 continues the development of the
final segment of the theme. Melodically G5 is prolonged by its chromatic
upper neighbor, A♭, after which B♭5 is introduced by its upper neighbor, C6.
From this B♭5, which is supported by a G-minor chord, the minor dominant of
C minor, the top part ascends by step as shown to F6, after which the top line
descends to E♭6–D6–C♯6 harmonized by II♭6–V4– 6–5 in D minor. The top voice
3
leads as expected to D6, but Schubert avoids harmonic closure by substitut-
ing a diminished seventh chord (ff) in measures 140–41. This move initiates
the retransition, though I have interpreted measures 141–57 as a parenthetical
digression until the music returns to the bass note G♯, now supporting the
dominant (as opposed to the earlier diminished seventh chord of measures
140–41) in the original key.3 This dominant, which is prolonged through mea-
^
sure 167, supports B5, which leads through A5 to G♯5, above B4 (2) in prepa-
ration for the recapitulation.
Example 7.4 provides a deep middleground sketch of the exposition and
development. Both themes 1 and 2 are characterized by descending fifth pro-
^
gressions. In the exposition E5 (5), the primary tone, is initially prolonged by
the descending fifth E5–A4, and in the ensuing transition, A4 is transferred
to the octave above in preparation for the descending fifth of theme 2 from
the covering pitch G5. Overall, the fundamental line has descended E5–D5–
C5 (the goal of the descending fifth from G5), supported by the progression
i–[V]–III. The covering tone G5 is reinstated at the beginning of the develop-
ment section, and following a descent to an inner voice it progresses to A5 as
fifth of D minor (iv). The following material, up to the diminished seventh
chord of measure 140, is interpreted as a prolongation of iv. Within these
measures A5 descends chromatically to F5, the next step in the long-range
descending sixth from G5 to B4 (2^ of the fundamental line). The steps in the
chromatic descent (mm. 11–140) are supported by the passing modulations to
F minor (vi) and C minor (iii). Following the parenthetical digression (mm.
141–57), the descending sixth continues to 2^ over a prolonged dominant.
^
Overall, then, the structure leads to an interruption with E5 (5) reinstated at
the outset of the recapitulation.

Beach.indd 155 4/4/2017 4:38:24 PM

Beach.indd 156
Example 7.3. Quartet in A Minor, D. 804 (I), foreground graph of the development
101 111 118

œ œ bœ œ œ œ œ œ œ œ bœ bœ œ œ
œ œ bœ œ #œ œ œœ #œœ œ œ œ œ œ #œ œ
& œ œ bœ
1 œ 2œ 3 4 5 6 7 8 1 1 2 3 4 1 2 3 4
? œ œ œ œ œ œ œ œ
bœ œ œ #œ œ œ œ œ bœ œ
œ
J
{
d (iv): iv 5 N 6
O o7 R V 4 5 i i V f (vi): ii 6 V 7 i
#
III iv vi

118 130
j
bœ bœ bœ œ bœ bœ bœ œ
œ œ œ œ œ œ œ œ œ bœœ #œ œ
& œ œ bœœ nœœ œ
1 2 3 4 1 2
4 1 2 3 4 1 2 3 4 1b œ œ2 3œ 4
œ œ œ œ œ
? œ œ œ
œ œ œ bœ œ bœ œ œ œ bœ œ bœ œ œ bœ œ bœ œ
œ œ œ
J
{ J
c (iii): iv 6 +6 6 5 i
5 V4 §
vi iii

130 140 144

Nj INœj œœ n œœ #œ œœ
bb œœ œœ
œ bœ b œœ œ œœ bœœ œ #œ b œœ b œœ œ œœ b œœ œœ # œœ n œœœ œ œ œ œ œ
œ œ nœ œ œ œ
& bœ œ nœ œ œ nœ œ œœ œœ œœ œœ nœœ
œ œœ bœœ
œ
bœ
4/1 2 3 4 1 2 3 4 5 6 7 8 1 2 3 4
? bœ #œœ œœ œœ œœ œœ bbœœ œœ
bœ œ œ œ œ œ bœ œ #œ œ
œ bœ J œ
J 7 4
{ !7 7 !8 7 #7 8 4 5 !6 Ä G !6 o7 2
I V 3 4 # 2 2 # sub. for iv

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Beach.indd 157
Example 7.3.—(concluded)

148 158 168

2… "
bœ œ bœ bœ œ œ bœ œ œ œ œ œ œ œ œ œ #œ œ
bœ bœ œ #œ #œ
nœ œ #œ nœ
& bœ œ œ bœ œ bbœœ œœ œœ œœ
œ ##œœ
œœ œœ
œœ # œœ n œœ
˙œ œœ
œ œ # œœ n œœ œœ œ œ
1 2 3 4 1 2 3 4 5 6
bœœ b
b œœ
b œœ
nœœ œœ œœ œ #œ œ œ œ
? bœœ bœœ œ #œ nœ #œ œœ #œœ
œ #œ nœ #œ œ œ nœ œ nœ œ
{ ˙ œ
N N 6 !7 !7 Ä 6 6 H 4 7 H
B V V 3 2 4 S # 4 § 4 #
V i

Example 7.4. Quartet in A Minor, D. 804 (I), middleground interpretation of the exposition and development

57 98 111 118 130 140 158 166 168

6th
5… 4… 3… 3rd 2… " 5…
5th
œ˙ œ œ œ œ œ œ œ b œ b œœ nœ œ œ œ #œ œ˙
&
˙ œ œ œ œœœ œœ œ œ ˙ ™™ œ œœ #œœ œ b#œœ nbœœœ nœœ œ #œœ œœ œœ bbœœ bœ bœœ n#œœ
bœ œ
œœ nœ œ ˙
5th
bœ œ bœ nœ b nœ #œ nœ œ œ
? œ J œ œ bbœœ nœœ b œœ nœœ # œ œ
˙ œ œ ˙ ˙
™™ œ œ œ nœ ##œœ œ #œ #œ nœ n ˙ Óœ nœ ˙
65 6 !7 N 5 7
{ J
4# vi 4 3 iii #
i 6 iv 7 6 V7 6 5
O V R III 4 #

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Beach.indd 158
Example 7.5. Quartet in A Minor, D. 804 (I), middleground graph of the recapitulation (mm. 190–263)

199 206 214 220

5… 5th
N
œ ˙ œ œœ œ
œ œ œj
œ #œ œœ œ œ œ œ #œ œ œ #œ nœœ œœ #œœ œœ #œ #œ #œ #œ #œ #œ œ ###
& œ œ #œ
Óœœ œ nœ œ œ œ œ #œœ
# œ œ #œ nœœ
œ #œ
Theme 1 5th Trans.
? œ œ œ œœ œ œ œ #œ #œ œ #œ œ œ nœ #œ # œ #œ #œ nœ œœ # #
˙ œ œ œ œ œ #œ œ #œ œ #œ œ #
{ J J J J
e (v): !7 ½II 6 V6 5 i +6 V f#: i +6 V +6
4 # 5 5 G 6
a: i A: I 6 V
ii5

222 232 244 249 263

5… 5… 4… …3 2… …1
3rd “”
N j
œ œ œ œ œ œ nœœ œœ œ œœ œ œ œ
### œ̇ œj œ œ
& œ œœ œœ œœ
œ œ œ œ œ œ œœ #œœ œ ˙œ #œœ œœ œ nnœœ œ
œ œ̇ œ̇ œ̇ ˙
" 5th
Theme 2 5th 11 9
j
? ### œ œ œ #œ Nœ œ nœ œ œ œ œ œ œ œ œ œ ˙ ˙
˙ œ œ œ œ œ œ n˙ ˙
J J J Ô
6 6 6 6 6 5 6 Ä 6 4 6
{ 65,
ii6 V4 3 5 5 4 3 2 2
6 5
I I ii6 V4 3 I

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 two quartet movements ❧ 159

Because I provided detailed graphs of the exposition, I will forego that level
of detail for the recapitulation and instead provide a middleground graph (ex.
7.5). The first change comes in measure 190 with the motion to F (VI), which
becomes ♮II in the modulation to the minor dominant. The primary tone E5
is immediately covered by its upper fifth, B5, and in the following phrase it
descends a fourth to F♯5 over a motion through the German sixth chord to V
of the local key. In the continuation, now in the key of F-sharp minor, the cov-
ering tone is reinstated and then descends a fifth back to E5, now harmonized
by an E-major chord (V). Overall this interesting passage has prolonged the
dominant, initially E minor, but then E major as V in the tonic key.4 Theme
2 is now stated in the major tonic. As was the case in the exposition, Schubert
avoids closure several times in the final statements. Though example 7.5 posits
the descent of an octave beginning in measure 244, the first and last pitches in
this progression, though clearly implied by the context, are not actually stated,
nor is the supporting bass note in measure 249. (This passage is the equivalent
of mm. 81–86 in the exposition.) Scale degree 5 is then restated over a tonic
harmony in first inversion (m. 250), the initiating point in the final descent to
closure in the major mode, which Schubert delays one more time by a paren-
thetical digression in the key of F major (VI). Immediately following closure
(m. 263), Schubert changes the mode back to minor for an extended state-
ment of the first theme.

Quartet in D Minor, D. 810 (I)

Like the first movement of the Quartet in A, the D-Minor opens with a motivic
idea, a motto with a clear rhythmic articulation, that plays a vital role in the
narrative of the movement. The similarity ends there. Unlike the first move-
ment of the “Rosamunde” Quartet, this is a very powerful statement in a key
that seems to have been reserved by others beside Schubert (notably Mozart
and Beethoven) for the expression of particularly strong emotions. This move-
ment also presents some interesting issues. For example, how should we inter-
pret the function of A minor/A major in the exposition? And what is the role
of B-flat major in the recapitulation? And finally, why does Schubert save the
restatement of theme 1 for the coda? We will address these and other issues in
the following paragraphs.
Table 7.2 presents a chart of the formal/tonal plan of the first movement
of the “Death and the Maiden” Quartet. The first theme is preceded by an
introductory phrase that I have characterized as the motto, since it is the defin-
ing gesture of this movement. It introduces the rhythmic figure consisting of
quarter note, eighth-note triplet and half note (and its variants) that perme-
ates the first theme area. The actual first theme is divided into three phrases

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 160 ❧ chapter seven

in an a–aʹ–b relationship, where, once again, it must be understood that “b”

is derived from a. Each one of these phrases, like the introduction, progresses
from tonic to dominant. This is followed by the transition, initially based on
the introductory material. An interesting and somewhat unusual feature of
this transition is that it changes character mid-stream (beginning in m. 52),
establishes the new key, F major (III), then leads to its dominant in measure
60. The following second theme is accompanied by its own rhythmic figure
(double-dotted quarter–sixteenth) in its initial statements. The second state-
ment is greatly expanded by a parenthetical digression (mm. 71–82) that
delays closure in the local key. This is followed by a transition leading to varied
statements of theme 2, the first in A minor, which quickly breaks down into a
sequential transition, and the second in A major. Then the surprise—Schubert
jolts us back to F major! It seems that he has never abandoned this key totally
and that the motion to A is really an extension of F (III). This closing idea and
its successive statements are derived from theme 2, but they are differentiated
from it by its initial gesture (ff) consisting of four sixteenth notes followed by
an octave leap up to a sustained note on the local tonic, first on F (F major),
then on A (A minor) and finally on C (C major) to begin the development.
This progression also prolongs F major (III).
The development section is divided into four phrases plus the retransition.
The first phrase, initially based on the closing idea, leads from C major (V of
III) through C-sharp minor to F-sharp minor. The second phrase leads from
F-sharp minor through B minor to E minor, and the thirds phrase follows this
pattern by leading from E minor through A minor to D minor. The fourth
phrase then leads to the dominant in D minor for the retransition. From a the-
matic-motivic perspective, the entire development is derived from the second
theme. However, beginning in the second phrase (m. 152) and thereafter the
rhythmic figure associated with the opening idea begins to assert itself. This is
particularly apparent at the initial arrival at E minor (mm. 163–65) and later
D minor (mm. 173–75). Then in the retransition, the prolongation of V, the
double dotted rhythmic pattern associated with theme 2 persists in the bass
while the tension builds above in anticipation of the dramatic return of the
opening motto material.
It turns out that the return of the opening material does not introduce the
first theme, but rather becomes the transition to theme 2. This passage is the
equivalent of mm. 41–60 in the exposition, but here it is rewritten to remain
in the tonic key. We will not hear the first theme until the coda.5 The second
theme area, now in D major, proceeds as it had in the exposition until the
transition following the two initial statements (mm. 218–23 and the expanded
phrase ending in m. 244). The transition reinstates the minor mode, and the
following variation leads to the dominant of B-flat major (VI), the key of the
following phrase, marked var. 2 (mm. 260–71) in table 7.2. We might predict a

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 Table 7.2. Formal/tonal Plan of the String Quartet in D Minor, D. 810 (I)
Exposition
Theme 1
introduction 1–14 d: i–V
(motto)
a 15–19 i–V
aʹ 20–24 i–V
“b” 25–40 i–V

Transition (motto phrase exp.) 41–60 i–V7 of III (F)

Theme 2
a 61–66 F (III): I–V7–I
aʹ (exp.) 66–83 I–V7 ( ) I
transition 83–90 I–V7 of a
var. 1 90–101 (a): i–V7
var. 2 102–13 (A): I–V7–I6
Closing section (derived from th. 2)
phrase 1 114–33 F (III): I–V7 of a
phrase 2 134–40 (a): i
Development
Phrase 1 (closing idea) 141–52 C– (c♯) –f♯
Phrase 2 152–66 f♯– (b) –e
Phrase 3 166–76 e– (a) –d
Phrase 4 176–86 d: i–V
Retransition 186–97 V
Recapitulation
Theme 1
motto phrase/ 198–217 d: i–V
transition
Theme 2
a 218–23 D: I–V7–I
aʹ (exp.) 223–44 I–V7–I
trans. 244–48 d: i
var. 1 248–59 i–V7 of VI
var. 2 260–71 B♭ (VI): I–V7–I6
Closing section
phrase 1 272–92 I–V of d
phrase 2 292–97 d: i

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 162 ❧ chapter seven

Table 7.2.—(concluded)

Coda
Theme 1
motto phrase (var.) 297–310 i–V
a 311–15 i–V
aʹ 316–26 VI–V–I
final phrases 326–32, i–♭II–V–i
332–41

sudden return to D major, the key of the second theme, with the introduction
of the initial statement of the closing idea beginning in measure 272. Instead
Schubert remains in the key of B-flat until the final phrase of the recapitula-
tion (mm. 292–97), where he finally returns to D minor. Though the paral-
lel between exposition and recapitulation is not exact, the extension of the
second theme area in the exposition to the upper third (A major as III♯ of F
major) is answered in the recapitulation by the extension to the lower third
(B-flat major as ♭VI of D major).
The coda opens with a variant of the introductory material, though here
pianissimo rather than fortissimo. The constant displacement of A by its upper
neighbor, B♭, in these measures is a vestige of the recently stated key of B-flat
that seems reluctant to concede totally to D minor. This is followed by the
first two phrases of theme 1, the second making further reference to the key
of B-flat before building to a climatic ending on D in measure 326. Schubert
could well have ended there, but a triumphant ending to this movement is
quite clearly not what he had in mind. He adds two phrases that emphasize E♭,
the other decorative pitch utilized at the opening of the coda, the second an
octave lower and softer, dying away to almost nothing.
A salient feature of the introductory phrase and first theme is the descend-
^
ing fifth from A to D, though A (5) is sounded directly with the dominant
rather than the tonic throughout (except in the moving inner voice in mm.
1–2). It is for this reason that I have identified the establishment of A as the
primary tone in measure 13 in example 7.6, a foreground sketch of measures
1–61, though the primacy of A is certainly implied from the very beginning
and by its subsequent prolongation in the introductory phrase by its upper
neighbor, B♭. The sketch of the introductory phrase shows that it is expanded
by a varied repetition of measures 5–8, which hints at the later modulation
to F major (III).6 The following first phrase (a) of the first theme involves

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 two quartet movements ❧ 163

an ascent of a fifth from D4 back to A4, a gesture that is repeated an octave

higher in measures 20–24 (not shown in ex. 7.6). From a melodic perspec-
tive I hear two different though complementary things taking place in the
following b phrase (mm. 25–41). First is the long-range arpeggiation in the
violin 1 part from D5 to F5 in measures 25–26 that finally reaches A5 over
dominant harmony in measure 40. At the same time there is a linear descent
from F5, the middle member of this arpeggiation figure, which finally reaches
D5 in measure 41 after the indicated parenthetical insertion delaying arrival at
this goal. A feature of this descent is the emphasis in measure 29 on VI, fore-
shadowing the introduction of B♭ as a key area later in the recapitulation. It is
the chord that introduces VI, the diminished seventh chord that is the point
of departure for the parenthetical insertion of measures 32–46. The follow-
ing transition begins with a varied statement of the opening motto, and from
A5 the top part begins a chromatic descent that reaches as far as F5 over the
dominant, but the descent is halted at this point, F5 is transferred to the bass,
and A5 is reinstated above by its upper neighbor. The character of the phrase
changes as the new key, F major (III), is established and the phrase progresses
^
to its goal, V of III, which supports G5 (4) of the fundamental line. By implica-
tion, 4 progresses to 3 in measure 61, though arrival at 3^ does not come until
^ ^

measure 83 following the descent of a fifth from the covering tone C. At this
level the structure is the same as that of the first movement of the A-Minor
Quartet transposed to D minor.
Example 7.7 is a foreground sketch of measures 61–114, the second theme
area. Much like the second theme from the first movement of the A-Minor
Quartet, this theme is characterized metrically by successive downbeat mea-
sures. That is, we hear measure 61 as a downbeat, but we also hear it as an
upbeat to the following downbeat measure. This metric pattern (11234) is
repeated three times, the last extended by two measures. The overall melodic
motion of this passage is a descending fifth with a transfer to the upper octave
^
leading from C5 to F5 (3), which is finally reached in measure 83. The ini-
tial statement of this idea (mm. 61–66) descends from C5 as far as A4, after
which the idea is repeated an octave higher, but with the difference that C6
hovers above the continuation of the descent from A5 to G5 supported by
the dominant in the local key. Here we encounter once again a parenthetical
insertion delaying completion of the descent. The following is a description
of the harmonic content of this passage, since I have not provided an analysis
on the sketch. The diminished seventh chord above the bass note C in mea-
sure 71 substitutes for the expected F major harmony, thereby initiating the
parenthetical delay of closure. The following V♭9 leads to an F-minor chord
that is treated as vi leading to V7 in the key of A-flat major (♭III in F major).
The return to the diminished seventh chord in measure 71, now with E♭ in

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Beach.indd 164
Example 7.6. Quartet in D Minor, D. 810 (I), foreground graph of theme 1 and transition (mm. 1–61)

13 5… 20
Motto phrase (introduction)
Nj Nj a 5th a'
œ œœ œ œ œ œ œ œ œ œ œ
&b
œœ œ œ œ œ œ œ
œ œœ œœ œ œ œ œœ œ œ œ œ̇ #œ œ # œœ œœ # œœ n#œœ bœœœ #œœ nœœœ #œ œ œ œ œ
NJ
1 2 1 2 1 2 3 4 1 2 3 4 5 6 1 2 3 4 5 6/1
?b œ œ œ œ œœ œ œ œ œ œ œ œ œ œ œ œ
œ œ œ œ œ œ œœ œœ
œ œ œ œ œ œ
œœ
œ œ œ œ
{ ˙ œ œ œ œ œ

F (III): I6 ii7 7 N 7 6
# # # #
i iv7 6
V4 5 i V7 6 5 i
# # 4 #

25 32 (5)
… 41
b œ œ œ
œ j œ j œ œ œ œ œ œ bœ œ œ œ nœ œ œ #œ nbœœ œœ œœ œœ bœœ ##œœ œœ œœ #œ œ
& b œœ œœ œœ œœ œœ œœ œ œ œœ # œ bn œœ bœœ œœ œ nœ œ œ œ
J J ‘
6/1 2 3 4 1 2 3 œ 4/1
œ œ œ œ œ nœœ # œœ # œœ #œœœ nn œœœ nœœ # œœ œ
bœ œ bœ œ nœ bœ
? b œœ #œ
œ œ #œ œ œ œ œ œ œ nœ œ œ bœ nœ bœ nœ œ #œÓ bœ nœ
J J œ #œ #œ nœ œ
J
{ 6 6 7 6 5 6 5 !7 6 4 7 Ä +6 6 5
N
5 5 4 # 4 # 4 2 © 5 4 #
i V O o7 R VI iv7 V i

41 4… 3… 61
j
Trans.œ
œ œœ œ j œ œ Th.2
œœ nœœ œ œ œ œœ œ œ œœ œ #œ ˙ œ #œ nœ bœ œ
œ œ n#œœœ œ bœ œœœ #œœœ nœœ
œ
œœ bœ œœ
œ œ œ bœ œnœ œ œ
&b œ Q œ œ œ nœœ œ
œ̇œ
œ
1 2 1 2 1 2 3 4 5 6 7 8/1 2 3 4 1 2 3 4 1comes in m. 83
œ œ ˙ bœ œ
?b œ œ œ œ œ œ œ œ œ nœ œ œ
œ œ œ œ J ˙
{ œ œ œ œ 9 : 8
T §7 H Y 6 6 6 6
# 4 4 5 5
F (III): V I o o I
O 7R V O 56 R V
i OVR III

4/4/2017 4:38:40 PM
Beach.indd 165
Example 7.7. Quartet in D Minor, D. 810 (I), foreground graph of the second theme (mm. 61–114)
61 71 83
5th 3…
Th. 2 IN j j
N œ œ œ œœ œ j j b œœ œœ œ b œ œ bœ œ
œ œ œ œœ
œ œ #œ bœœ œ œ bœ œ bœ œ œ œ œ ˙
&b œ œ œœ œ œ œ
bœ nœ bœœ bœœ bœœ bbœœ œ bœ bbœ nœœ bœ bœœ
bbœœ œ bœœ œ nœ œ œ œ œ œ
N
1 1 2 3 4 1 1 2 3 4 1 1 2 3 4 1 1 2 3 4 5 6 1
œ bœ œ œ
?b œ #œ œ œ œ bœ œ nœ œ œ œ
œ œ œ œ œœ œ œ œ œ œ œœ œ œ œ œ bœ œ œ ˙
J J
{ N N Ä : N ! 6 !7 !7 6 5 Ä : N 6 6 7 6 5 6 7
! 7 4 © 7 4
F (III): I V7 I V I

83 90
Transition œ (Th. 2)
œ #œ nœ nœ bœ j
œ œœ #œœ nœ #œœ œ nœ œ œ nœ nœ œ œ œ œ
œ œ œ œ nœ œ œ
œ nœœœ bœœœ œnœœ œœ œ œœ œ œ
&b #œ œœ œœ œœ œœ œ œœ bœ œœ
œœ œ œ œ #œ
œ œœ n œœ n# œœ œœ
1œ 2œ 3 4 5 6 7 8/1 2 3 4/1 2 3 4 1 2 3 4 5
#œ œ bœ œœ nœœ œœ œ nœ # œ œ
?b œ #œ œ œ œ œ œ #nœœ œ œ
œ œ œ œ œ œ œ œ œ œ
œ œ œ œ +6
nœ œ
6 6 6 6 4 # 7
{ # 5 # # 5 § 5 § 5 3 #
a (iii): V i V V
F: I

102 5th 114

(Th. 2) 3rd
Nj Nj
œ œ #œ œœ œ œ nœ œœ œ nœ
& b #œ œ #œ œ #œ #œœ œ œœ #œ œ nœœ œœœ #œœ œ #nœœ œ
œœ
nœ
1 2 3 4 1œ œ 2 3 4 5 #œ
j Q6
œ 7 8 1
# œœ nœ œœ # œœ n œœ œ œ #œ nœ œœ n œœ nnœœ œœ # œœ œ nœ
?b œ #œ
œ nœ
H H H
{ #
4
3
6 4
3
4
3
§ 6 6
4
6
4
Ä
2
6
A: I I I
F (III)!: I

4/4/2017 4:38:46 PM
 166 ❧ chapter seven

the bass, substitutes for the local resolution to A♭ and at the same time initi-
ates a varied repetition of this harmonic excursion. This time the progression
is extended by two measures, returning us to F major in preparation for the
^
anticipated arrival at F5 (3).
Measures 83–90, which contain imitative statements of the head motive
from theme 2 among cello, viola, and violin 2, lead from F major to A minor.
Melodically, the top part descends chromatically from A5 to F♯5 over a con-
tinuation of F5 to D5, after which the inner line is transferred to D6, which
then descends back to A5 in measure 90 for the next phrase in A minor. This
manifestation of the second theme, which leads from A5 to E5 supported by
a progression from i to V in the local key is incomplete, leading to another
sequential passage preparing complete statements by violin 2 in the key of A
major beginning in measure 102. The initial statement of the theme descends
a third from E5 to C♯5, but the second statement descends the entire fifth
to A4, however with C♯ in the bass, thus avoiding harmonic closure to a root
position chord in the local key. What is the meaning of this modulation to A?
Have we arrived at the dominant? The answer comes immediately in the next
measure with the sudden forceful return to F major. It seems that the preced-
ing phrases beginning from measure 83 are all an extension of III.
As noted previously, the statements of the closing idea are differentiated
from theme 2, from which they are derived, by their opening gestures: an
initial figure of four sixteenth notes followed by an octave leap upward to a
sustained note, always the tonic of the local key. A foreground sketch of this
concluding section of the exposition is provided in example 7.8. This section
opens with two statements in F major. In the first of these, there is an internal
motion toward A minor, which is cut off at the last moment as F major asserts
itself once again. Then in the second statement, which begins in measure 120,
the diminished seventh chord leading to A is prolonged by a voice exchange
(mm. 124–28) before the addition of the root transforming it into a dominant
ninth chord (m. 128). This time A minor wins the struggle for supremacy, lead-
ing to a cadence in that key in measure 134 following the deceptive resolu-
tion of the dominant and its ninth, F5, to E5, which is supported by a C-major
chord rather than an A-minor chord in first inversion. This is followed by a
descending fifth to local closure. The following brief statement on A prepares
the return to the beginning (D minor), and, as leading into the development,
it leads to C, completing the arpeggiation from F to its upper fifth.
Example 7.9 provides a detailed account of the entire development sec-
tion. As was noted in table 7.2 and the accompanying description, this portion
of the movement is divided into four phrases plus the retransition. The first
phrase leads from the C-major chord in measure 141 through C-sharp minor
to a cadence in F-sharp minor. Over the course of the phrase the top voice
descends a seventh from E5 to F♯4, replacing the ascending step E5 to F♯5,

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Beach.indd 167
Example 7.8. Quartet in D Minor, D. 810 (I), foreground graph of the closing idea (mm. 114–40)
114 120 134

nœ Nj 5th
nœ œœ Nj œœ œœ œ
& b œœ nœ œœ œœ œœ #œ œ œœ nœ #œ œ œ nœ œœ œœ œœ #nœœ œ
œ œ œœ œ #œœ bbœœ œ #œ œœ #œ #n œœ œœ nœœ
1 1 2 3 4 5 6/1 2 3 4 1 2 3 4 1 2 34 5 6
œ œœœ œ nœ œ œ nœ b œ bœ nœ œ œ œ œ œ œ œ œ 1œ
?b œ œ œ œ œ œœœ œ œ œ œ œ œ œ bœ b œ n œ œ ##œ nœœ #œ œ nœ
nœ œ n œ œ #œ œ œ œ
J œ œ œ œ
J
{ 6 5
9
65
a: ii 6 V4 a: V7 VI III ii 6 i
#
V4 #
#
F (III): I I iii

134

œ œœ œœ œœ #n œœ œ #n œœ œ œ
œœ œ ™™ œ œ
&b œ
œ œ
1 2 3 4 5 6 1 1
?b œ œ œ œ œ œ œ ™™
œ œ œ œ œ
œ
{
a: i
F: iii V

4/4/2017 4:38:50 PM
 168 ❧ chapter seven

which is stated immediately thereafter. After the initial prolongation of F♯5

and the key of F-sharp minor, the top voice in the second phrase descends an
entire ninth, which is divided into two descending fifths, F♯5 to B4 and B4 to
E4, after which E5 is stated to initiate the following phrase. In essence, then,
this descending ninth is an elaboration of simpler step progression from F♯5
to E5. The following phrase is a varied repetition of the preceding one step
lower, now progressing an entire ninth from E5 to D4 with a change of key
from E minor to D minor. We are now back in the tonic key, though the goal
of this passage is not the tonic, but its dominant. This fourth phrase contains a
chromatic ascent from D5 to A5 harmonized by a motion from i to V, which is
shown to support E5 (actually stated an octave higher), 2^ of the fundamental
line. The following retransition prolongs the dominant, above which the top
part first ascends a fifth from A4 to E5 and then an entire octave from A5 to
A6, so that the dramatic return to D, now D6, is accomplished by the descend-
ing leap of a fifth, the defining gesture of this movement.
An overview of the movement up to the first chord of the recapitulation is
provided in example 7.10. Both themes 1 and 2 are characterized by descend-
ing fifths, the first from A, the primary tone, to D and the second from the
covering tone C to F. At the deepest level of structure, 5^ progresses through 4^
to 3^ harmonized by i–[V]–III. Indicated parallel fifths are “corrected” at more
immediate levels of the voice-leading structure. The first difficult question
to be answered in this movement is the meaning of the statement of the sec-
ond theme in A major and the subsequent statements of the closing idea on
F, A and C. Example 7.10 illustrates that all this is interpreted as prolonging
III (F major). Throughout the latter portion of the exposition, the covering
tone A5 is sustained, below which an inner line vacillates between F5 and E5,
which is twice prolonged locally by descending-fifth progressions in A major/
minor. The second question concerns how best to interpret the modulations to
F-sharp minor, E minor, and D minor in the development section. As shown by
the large slur in the bass in example 7.10, I interpret this middleground step
progression as extending III until the arrival at V. Once again we encounter
parallels (in this case octaves) at this middleground level that are “corrected”
at more immediate levels of structure. Looking back to measure 83, you can
see that the continuation of the fundamental line, shown with stems down, has
become an inner voice all the way to the arrival at 2^ (covered by A) supported
by V in measure 182. In short, this movement, like the first movement of the
A-Minor Quartet, exhibits an interruption structure. Despite this and other
similarities between these two movements, they are, as already noted, very dif-
ferent in other respects.
As with the A-Minor Quartet, I am providing only a middleground sketch
of the recapitulation (ex. 7.11), since detailed graphs were provided for the
exposition. With the omission of theme 1, the introductory idea/transition

Beach.indd 168 4/4/2017 4:38:54 PM

Beach.indd 169
Example 7.9. Quartet in D Minor, D. 810 (I), foreground graph of the development

141 71 152 156 9th 160a

5th
Th. 2 7th #œ #œ
œ #œ œ #œ
œ œ #œ #œ œ #œ œ #œ #œ #œ #œ # œœ # œœ #œ nœ œ nœ œ œ œ
œ œ œ #œœ ##œœ nnœœ œ nœ #œ œ œ #œ œ n#œœ nœ nœ
&b œ œ #œœ ##œœ #œ nœ #œ nœ œ
Q
1 1œœ 2œœ 3 œ 4 1 2 3 4 5 Q6
#1œ 2 3 4 1 2 3 4 5
# œœ #œ
?b œœ ##œœ œ œœ #œ #œœ n#œœ œ œœ #œ #œ œ #œ œ #œ #œ œ
œ #œ œ œ #œ #œ #œ nœ œ nœ #œ #œ
œ J J
{ H H 6 5 §7 H 6 6 5 6 H 6 5 +6 6 7 5 6 +6 6 7
# # 4 # 4 # 4 # 5 4 # 4 E 4 E 4 3
f#: V i e: i

9th
160b 166 176
5th
5 œ #œ œ 5th
œ # œœ œ #œ nœ nœ nœ œ bœ
& b nœœ œ œ œœ #œœ œ #œ œ nœ
œ nœ œ œ #œ n œ bœ œ œ #œ
œœ ##œœ œ œ œ œ
œœ œœ œ œ
œ #œ œ
(5) 6 7 8 1 2 3 4 5 6 7 8 1
? œ œ nœ
nœ œ œ nœ œ nœ œ nœ #œ œ œ œ
b œ œ œ œ #œ #œ nœ œ œ œ œ œ œ œ
+6 4 # 6 7 +6 6 5 6 7 4 § J 6 5 :
{ J6 6 5
4 # 5 5 4 # ii6 V4 # 7
e: i ii V i
d: i i

Recap.
176 5th 182 2… " 186 “” 198
nœ 5th œ œ n œœ # œœ n œ
bœ œ œ nœœ œœ œ œ #œœ œœ #œœ œ œ œ œœ œ œœ n œœ # œœ œ œœ
#œ œ nJœ
& b #œ œ œ #œ n˙ 0 #œ œœ #œ
œœ œ
bœ œ œ œœ œ nœœ œ #œœ œ
1 2 3 4 5 6 œ 1œ 2 3 4 1œ 1 2 3 4 5 6/1 2 3œ 4œ œj 5œ 6œ
œ œ œœ œ œœ ##œœ n œœ b œ œ œ œ n1œ
?b œ
œœ #nœœ œœ n œ œ œ œœ
œ # œœ œœ œ œ J œ nœ
˙ œ #œœ œœ œœ œœ œ œ
{ œ N 6 9 6 6 6 6 H J +6
5 7 5 5 5 # 4
3 #
V i

4/4/2017 4:38:54 PM
Beach.indd 170
Example 7.10. Quartet in D Minor, D. 810 (I), overview of mm. 1–198

55 83 90/102 114 134 141 152 166 173 182 198 201
5… 4… 3… 2… " 5…

˙ œ œ œ œ œ̇ œ œ œ ˙ œ œœ œ œœ œœ œ #œ##œœ n œ œ nœ
œ #œ œ œ œ œ œ œ œ œ ˙
œ
&b œ #œ nœ œ œ œ nœ nœ œœ #œ̇

(5 5) (8 8 8)
œ œ œ
?b ˙ ˙ ˙ œ œ #œ #œ nœ œ œ œ
{ ˙ ˙
F: I (IIIx ) I iii V
i O VR III V i

4/4/2017 4:38:58 PM
 two quartet movements ❧ 171

leads directly to theme 2 in D major. The initial two statements of this idea,
stated in different octaves, combine to form a descending fifth: A4–G4–F♯4
and F♯5–E5–D5. The empty parentheses represent the parenthetical insertion
into the second statement to delay closure. The following transition then leads
from the minor tonic to the key of B-flat. The following material—a further
statement of theme 2, which involves a further statement of a descending fifth
(F5–B♭4) and the closing idea—remains in this key until the introduction
of the dominant ninth chord with B♭5 as the highest pitch in the home key.
The following progression with its cross reference provides an elegant touch.
The dominant ninth chord resolves deceptively to VI, and the resolution of
the ninth, B♭5, to A5 is supported by an F-major chord rather than a tonic
chord in first inversion, a progression that can also be heard as I to V in B-flat.
This is followed immediately by the descent of the fundamental line to clo-
sure: G5–F5–E5–D5 harmonized by ii6–V4– 6–5–i. As shown in example 7.11, the
3
key of B-flat functions as VI within the progression i/I–VI–ii6–V–i. That is the
structural interpretation, but the key of B-flat seems to function in the dra-
matic narrative as something far more important than this implies. Perhaps
for Schubert, the key of B-flat represents calm within turbulence, a ray of hope
within despair. Whatever the reason, he seems reluctant to let it go until the
very last minute, and even when he finally does succumb to D minor, vestiges
of B-flat persist. Perhaps this explains why he has saved theme 1, the strong
assertion of D minor, for the coda.
The coda plays a particularly important role in this movement, not just as
a summary of what has come before, but to supply the missing statement of
theme 1 and thereby to return to the underlying expressive character of the
movement. The initial phrase, now firmly back in D minor, retains elements of
B-flat (B♭ as displacement of A and E♭ as displacement of D), both of which
are utilized in the final phrase of the movement. The statement of theme 1,
which begins in measure 311, is followed immediately by a variant that opens
with one final reference to B-flat. As shown in example 7.12, the first statement
progresses from D4 to A4, harmonized by i to V, and the second continues the
ascent from B♭4 to A5, harmonized by VI to V, building to a climatic ending
on the tonic in measure 326, at which point there is a sudden drop in dynamic
level. This is followed by two statements of a closing phrase, only the second of
which—the one in the lower octave—is represented in example 7.12. Schubert
has saved the use of ♭II for this poignant ending as the energy of the move-
ment dissipates.

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Beach.indd 172
Example 7.11. Quartet in D Minor, D. 810 (I), middleground graph of the recapitulation
198 (341) 218 241 260 270 72 278 286 5th 292 97

5… 5th 4… 3… 2… 1…
3 5th j
œ˙ œ œ œ œ œœ œ j œ œ œ
œ> 3 #œœ œœ #3œœ œ œ œ œ œ œ bœ œ œ bœ nœ œ /œ N œ nœ nœœ œ̇œ ˙
&b œ #œ œ #œ #nœœ < œœ nœ
#œ #œœ nœœ #œœ nœ bœœ œÓœ
œ œ nœœ œœ #œœ œœ /œœ #œœ
nœ œ #œœœ œ
œ̇œ #œ̇œ
œ
5th w
Trans. Th. 2 Closing idea (I V)
œ #œ œ Th. 2 œ œ œ œ œ œ
?b œ œ œ #œ œ œ œ œ
nœ œ œ œ œ œ œ J œ œ #œ œ œ œ œ ˙ ˙
˙ 6 9 ˙
J
{ o
5 6 5
d: ii 6 V 4 # VI
o7 7
V# VI III! Ô
V 6 !7 I V7 6 5 I
O 56 R V
i I i VI ii6 6 5
V4 i
#

4/4/2017 4:39:01 PM
Beach.indd 173
Example 7.12. Quartet in D Minor, D. 810 (I), graph of the coda
297 311 316 326 338

N 7
œ j 1a 1a' œ N
5 # œ #œ n œ j
b
& œœ œ bœ œ œ œ nœœ bœœ bœœ nœœ œœ œœ bœ œ #œ œ
œ nœ œ # œœ #œœ bœœ #œœ # œœ bœœ œ nœœ bœœ #œœ œœ # œ œ
J
œ #œ œ Nj
?b j j œ œœ œœ bœ œ œ œ
œœ œ œ œ œ œ œ œ œ œ bœ nœ œ œ œ nnœœ
bœ œ œ œ
œ œ œ œ nœ œ
8 : 8 6 5 N 7 !7 !7 7 7 N 7 J +6
{ 5 6 5 6 4 # # # # # # 5

i V i V, VI V i ¼II 6 6 5
V 4 i
#

4/4/2017 4:39:05 PM
 Chapter Eight

A Slow Movement
and a Finale
Second Movements

There is surprising variety in the formal schemes employed by Schubert in his

second movements. Of the dozen or so I have examined in some detail, I note
four distinct types, though the last two I will mention are clearly related. The
first formal type is often referred to as sonatina form, a sonata form without a
development section, in other words, a statement of ideas followed by a restate-
ment. The three that fall into this category were written toward the beginning
of Schubert’s “mature” period: the second movements of the “Trout” Quintet,
the Octet in F Major, and the Symphony in B Minor. The first of these is a
prime example of Schubert’s occasionally employed scheme of transposing the
key relationships of the statement or exposition in the restatement or reca-
pitulation such that it ends rather than begins on the tonic. This movement
was mentioned briefly in chapter 4 in the section on “transposition schemes”
(type 3). Like the second movement of the “Trout” Quintet, the second move-
ment of the Octet presents three ideas. However, here the restatement begins
in the tonic, which leads to IV, then V (via ♭VII) to I. This leads us to the
second movement of the “Unfinished” Symphony, where the motion to IV in
the restatement is the goal of a long-range progression by descending thirds,
where IV is introduced by I (= V of IV): I–vi–IV–V–I. This movement was also
mentioned in chapter 4, in this case under the section titled “a unifying pro-
gression” (type 5). The second type, variations, appears in three of the move-
ments I have examined, the second movements of the Quartets in A Minor and
D Minor, and the A-Minor Piano Sonata, D. 845. The third type, ternary form,
is what I naturally associate with second movements. Four examples are the
second movements of the Piano Trio in B-flat Major, the Piano Sonatas in A
and B-flat Major, and the String Quintet.1 I will single out the slow movement
of the B-flat Major Sonata for examination below. The final type is what I call
extended or compound ternary: A B Aʹ Bʹ A″. Clear examples of this formal

Beach.indd 174 4/4/2017 4:39:06 PM

 a slow movement and a finale ❧ 175

scheme are found in the second movements of the G-Major Quartet, the late
Piano Sonata in C Minor, and the Piano Trio in E-flat Major.

Piano Sonata in B-flat Major (II): Andante sostenuto

An outline of the formal divisions and corresponding tonal organization of

the second movement of the Piano Sonata in B-flat Major is provided in table
8.1. The A section consists of two extended phrases, marked a and aʹ. The first
modulates from the tonic, C-sharp minor, to the mediant, E major. The sec-
ond, which begins as a reharmonization of the initial phrase, progresses from
III to V–i. We will discuss the harmony in greater detail in conjunction with
our consideration of the voice leading and metric organization. The B section,
written in the key of A major (VI), is more complex in some respects. It has a
formal organization of a aʹ b a″ b″, which I have labeled x xʹ y x″y″ in order
not to confuse its phrases with those in the A section. The first phrase, which is
repeated an octave higher with added inner-voice accompaniment in triplets,
consists of an antecedent (4 measures) and a consequent (4 measures) leading
to local closure. The contrasting phrase (y) progresses first to the subdominant
in the local key, then prepares a modulation to B-flat major (♭II), which at
the last minute is avoided, and the phrase ends on the dominant in A major.
The initial phrase is then repeated with modal alteration in the consequent.
The final phrase (yʹ) begins as before, except an octave higher. This time the
avoidance of completion of the modulation to ♭II is redirected by means of
an enharmonic change to an F♯-minor chord, which becomes the pivot in the
return to C-sharp minor. The Aʹ section consists of variants of the two related
phrases in A plus a codetta in C-sharp major that leads to closure. Here, how-
ever, the first phrase ends unexpectedly in C major in the last four measures
rather than E major, as before. Enharmonically this is VII (B-sharp major), but
in the next phrase, which begins in C major and leads to an extended 4– 6–5 over
3
B, this C-major harmony functions as ♭VI in E major. We never reach this goal;
rather the dominant in E major resolves deceptively to a C♯-minor chord, and
the following four measures confirm the return to the tonic.
A foreground sketch of the A section is given in example 8.1. I can’t recall
the exact circumstances surrounding the initial construction of this graph,
which would have been in the mid-1980s, but, judging from the level of detail,
it was no doubt prepared for a class to demonstrate how to incorporate detail
into a Schenkerian graph while still showing longer-range connections. The
graph shows that the melodic content of the first eight measures—the pro-
^
longation of G♯4 (5) by its upper neighbor and the persistent covering tone
C♯5—takes place over a tonic pedal. The harmony changes to the dominant
in measure 9, above which the upper voice arpeggiates to G♯5 at the climax
of the phrase. The retention of this goal for an extra measure prior to the

Beach.indd 175 4/4/2017 4:39:11 PM

 176 ❧ chapter eight

Table 8.1. Formal/tonal organization of the Piano Sonata, D. 960 (II)

A
a 1–17 c#: i → III
aʹ 18–42 III–V–i
B
x (4 + 4) 43–50 A(VI): I–V, I–V–I
xʹ (4 + 4) 51–58
y (4 + 5!) 59–67 . . . IV5–♭6 V
x″ (4 + 4) 68–75 I–V, I–V–I
yʹ (4 + 5 + 5) 76–89 . . . IV–vi/c♯: iv–V
Aʹ
a″ 90–106 c: i–V, ♯VII (=♮VI in E)
a″ʹ 107–22 E (III):♮VI–V–vi/c♯: i–V–i
closing phrase (codetta) 123–38 C♯:I . . . +34–V7–I

5–6 motion above the bass, creating an E-major chord in first inversion, is very
noticeable, and I have notated it as an extra measure within the prevailing qua-
druple hypermeter. Arrival at the I6 chord initiates the modulation to E major
(III), above which G♯4 is reintroduced via its upper neighbor. The graph also
shows an inner-voice descent of a third: G♯4–F♯4–E4. The first eight mea-
sures of the second phrase begin as a reharmonization of the opening phrase,
now over the pedal tone E; but in the latter part of these eight measures, the
melodic line rises from G♯5 through A5 to B5. When the harmony changes to
the dominant in the local key, the top voice arpeggiates from B4 to B5, setting
up a descent through A5, the seventh of the local dominant, to G♯5. Arrival at
this G♯5 is harmonized by a deceptive progression in E major, preparing the
return to the tonic. As before, the primary tone is reintroduced in the original
octave by its upper neighbor, and the inner voice begins its descent to local
closure. In the next four measures there is a further reference to the neighbor-
note decoration of G♯ above an initial “attempt” to complete the inner voice
descent. But Schubert avoids closure, and so I have placed the four measures
in parentheses. The second time the descent to C♯4 is completed, above which
we hear A4–G♯4 one more time. This time the extra measure comes at the
end, after arrival at the goal harmony.
Example 8.2 indicates the local tonic of the B section as A major with C♯
^
(3) as the primary tone. The initial phrase and its repetition exhibit an inter-
ruption structure with 3^ being prolonged by its upper neighbor, a motivic

Beach.indd 176 4/4/2017 4:39:12 PM

Beach.indd 177
Example 8.1. Piano Sonata in B-flat Major, D. 960 (II), foreground graph of the A section

A a
5…
1 17
Nj Nj N
# ## œ œœ œ œ œ œ j
&# œ̇
œ œ œ œœ œ œ œ œ œ œ
#œ
œ œœ œœ œ œœ œ
œ œœ œœ œœ œ #œœ œ #œœœ œœ œ #œœœ
œ œ nœœœ œœ
œ œœ œ œ œœœ œ œœœ œœ
J œ
1 2 3 4, 5 6 7 8; 1 2 3 4 , 5 6 7 8.
(1 2 3 4) (1 2 3 4)
? ####
˙ œ œ œ œ œ œ œ œ œ œ
œ œ œ œ œ œ
{ 5 6 J
§
c#: i V# III
E: I6 IV V8 7 I

a'
N
18 33 j N
## Nj œ œ Nj œ œ œ j
œ œ œœ œ œ œ œœ œœœ œœ œœ œ œœ
œœ œ œ œ
œ œ œ œœ
œœ œ œ
& # # œœ œ œœ œ œœ œ œœ œœ œœ œ nœœœ œ #œ œ œœ œœ œœ œ œ œ œ œ œœ œœ œœ œ
œ œ
J #œ œ œœ
1 2 3 4, 5 6 7 8; 1 2 3 4, 5 6 7 8; 1 2 3 4 1 2 3 4 .
(1 2 3 4) (1 2 3 4) #‹œœ #‹œœ œ #œ œ œ
? #### œ #œœ #œœ œ œœœ #œ œ œ
œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
œ œ œ œ œ œ J J œ œ
N
{ 8 7
J N
+6
9 4
E: I V vi 6 7 3 ii 4
3
c#: i iv V4 # i V7 i

4/4/2017 4:39:12 PM
 178 ❧ chapter eight

parallel to the prolongation of G♯ by its upper neighbor in the A section. The

contrasting phrase (y) opens up to D4, the upper neighbor of C♯4, initially
harmonized by a B-minor chord (ii in A major), but eventually this D4 pro-
gresses to A4, then back to D4 as the harmony completes the motion to the
subdominant. From a motivic perspective, this may be understood as a tempo-
rary stabilization of the upper neighbor, an enlargement of the relationship
expressed in the opening measures of this section. In the second half of this
phrase, Schubert prepares a modulation to B-flat major (♭II), potentially new
support for the upper neighbor, D4, which progresses to C4 over the dominant
in this key. However, Schubert avoids completion of the potential modulation
and the descending third to B♭3 by replacing it with B♮3, which is eventually
harmonized by V in A major. By holding the bass note F for an extra measure,
Schubert avoids parallel fifths and, in the process, he extends the phrase from
eight to nine measures.
As noted above, the consequent portion of the phrase beginning in measure
68 (x″) involves mixture; there is a brief, though emphasized, suggestion of C
major as support for ♮3^ internal to these four measures, which may be taken
as foreshadowing the unexpected appearance of that key later on. (Likewise
the brief suggestion of B-flat major in the y phrase may be taken as a reminis-
cence of the previous movement.) The yʹ phrase begins as before, except that
the melody is sounded an octave higher. The first substantive change comes
in the ninth measure (m. 84), where the bass note F, instead of resolving to E
as before, is changed to E♯ supporting an applied dominant in 56 position of
the following F♯-minor chord. This not only serves as the pivot in the return
to C-sharp minor; it also supports A4, the important upper neighbor of the
primary tone G♯4.
A detailed graph of the Aʹ section, including the closing phrase, is provided
in example 8.3. The first change in the initial phrase from before is the sud-
den though quiet (pp) appearance of C major in the last four measures. I have
notated this key/harmony as ♮VI in E major because of the continuation. The
second phrase begins in C major, then leads to the cadential 4– 6–5 in E major
3
(III). The deceptive resolution of this dominant to a C♯-minor chord in mea-
sure 119 pulls us back to the tonic, which is confirmed in the final four mea-
sures of the phrase. Twice in this phrase there are further references to the
G♯–A–G♯ motive, first within the context of E major (mm. 111–14) and later
in the return to C-sharp minor (mm. 119–22). The following closing phrase in
in the tonic major. Here the fundamental line begins its descent to closure. I
have placed measures 127–30 in parentheses because Schubert avoids melodic
closure by returning to 3^ over tonic harmony. Closure is achieved in the varied
repetition of these measures. Arrival at the goal (m. 134) is then extended for
an additional four measures.

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Beach.indd 179
Example 8.2. Piano Sonata in B-flat Major, D. 960 (II), foreground graph of the B section

B x x' y
A: 3… 2… " 3… 2… 1…
43 51 59 Nj
## N 5th j
j j œ
&# œ œ œ œœ nœ œ œœ œœ œ nœ nœ bœ œ bœ
œœ œ œ œ œ œ œ œ œ œ œ œœ œ œ œ œ œ # œœ œ œ œ œ œ œ œ Repeat œ œ bœ œ b œ œ n œ #n œœ œœ œ
N
1 to 5… (g#) 2 3 4, 5 6 7 8. bars 43 50 1 2 3 4, 5 6 7 8 9!
? ### œ
an octave higher œ #œ
œ œ œ nœ œ
œ œ œ œ œ œ nœ œ œ œ œ œ œ œ œ nœ œ œ œ nœ œ
J œ œ bœ nœ œ œ œ
J J
{ 6
J
6 6 6 6 5 5 N 6 5
# 4 4 3 § 4 3

/D: vi I6 IV V I 0 /Bb: I 6 IV/ii V sub. for I 0

A: I V, I ii V I. A: IV V

A'
x" y'
3… 2… " §3… #3… 2… 1… 5th c#: 5…
68 76 Nj 90
## N
j
nœ œ œ œœ œ œ
œ
nœ j j ####
&# œ œ œ œ œ œœ bœ œ nœbœ bœœ bœœ nœ #nœœ œœ #œœ œ œ̇
œ œ œ œ œ œ œ œ œ œ œ œ œœ œ œ nœ œ œ œ #œ œ œ œ œ œ œ œ œœ
œœ # œœ
œ #œ
1 2 3 4, 5 6 7 8. 1 2 3 4, 5 6 7 8 9, 1 2 3 4 1
? ### nœ œœ œ œ œ #œœ œ œ œ nœ œ bœ œ
œ œœ œ œ nœ nœ nœ œ œ œ œ nœ œ œ œ nœ nœ œ œ œ œ
####
J J œ œJ œ œ bœ # œ #œ ˙
J J
{ Y 6 6 87 6 5 6 5 N
J
J
4 4 3 4
½III V
/D: vi I6 IV V I 0 /Bb: I IV5 6 V 6 5 sub. for I 0 V 6 6 5
43 5 4 3
A: I V, i vi ii6 V I IV vi
w i
c#: iv V

4/4/2017 4:39:18 PM
Beach.indd 180
Example 8.3. Piano Sonata in B-flat Major, D. 960 (II), foreground graph of the Aʹ section

A'
a" 95 100 105
90 …
5… (§5… §4… 3)
Nj Nj œ œ œ nœ œ œ
## œ œ œœ œ œœ œ
#œœ
œœ
œ nnœœœ nnœœ nnœœœ nœ œ
&## œ̇ œœ œ œœ
œ œ œ
œ œ œœ œ #œ œ œœ œœ œœ
œœ œœ œœ œ #œœ #œœœ œ nnœœ nœœ
œ
œ
N
1 2 3 4, 5 6 7 8; 1 2 3 4 , 5 6 7 8.
(1 2 3 4) (1 2 3 4)
? ####
nœ nœ
˙ œ œ œ œ œ œ œ œ œ œ œ œ nœ nœ
{ J
c#: i Vx
(E: ½IV

107 a''' 110 115 120

N Nj œ Nj
## j
œœ
œ
œœ œ
œ œœ œ œ
œ œœ œœœ œ œœ
& # #nœ nœ œ n œ œœ nœÓœ œ œ #œœ œœ œ œ œ
œœ
œ
œ œœ œœ
œ n œœ œ œ n œœ #œ œ J #œ œ œœœ
1 2 3 4, 5 6 7 8 1 2 3 4 5 6 7 8.
(1 2 3 4)
? #### œ
œ œ
nœ œ œ œ œ œ œ œ œ œ œ œ œ œ
{ J 6 5 N
J
N 4 3
c#:i iv V i
E: V vi )
Coda

123 5… 125 4… 3… 130 135

2… 1…
#### ##
& # œ̇ œ œ œœ œ j j œ
œ œœœ œ œ œœ̇ œ̇œ œœ œ œœ œœ ‹œ œœ œœ œ œœ œ̇ œ œ œœ œœ œ
œœœ œ̇ œ
œœ œœ
1 2 3 4, 1 2 3 4 5 6 7 8.
(1 2 3 4) (1 2 3 4)
? #### ## ‹œ #œ œ œ œœ ‹œ #œ œ œ œ œ œ œ
# œ ˙ œ nœ œ œ nœ œ
˙ ˙ J J ˙ œ œ œ œ
{ J
H Y
c#: I IV V 7 I / 0 ii 4 V7 I .
3

4/4/2017 4:39:24 PM
 a slow movement and a finale ❧ 181

So far our discussion of this delightful movement has treated each of its
three sections separately, but our ultimate goal is to understand how the parts
fit together into a unified whole. Example 8.4 is a middleground sketch of the
movement up to the beginning of the Aʹ section (m. 90). The main features of
the A section are the prolongation of the primary tone G♯ by its upper neigh-
bor at various levels, as reflected in the notation. The inner-voice descent of
the third in the first phrase, extended to a fifth in the second phrase, is shown
by the downward-directed stems and the connecting beam. The main feature
of the B section is the stabilization of the upper neighbor A at yet a deeper
level, first harmonized by VI (locally I) and later by iv, internal to which there is
a motion to the subdominant of the local key supporting a motion to D5 (the
upper neighbor of C♯), which initiates a descending third to return to A and
the ultimate return to G♯.
Example 8.4 contains considerable detail, too much to see clearly the over-
all structural role of the B section in relation to the outer sections, and for this
reason I am providing a further reduction (ex. 8.5). Here the support for A4,
the motivically significant upper-neighbor note, by VI and iv (locally I and vi) is
shown to be part of a larger progression by descending diatonic thirds I–VI–iv,
which continues to V and then I at the beginning of Aʹ.2 It also shows that the
persistent cover tone from the beginning (left hand across) prepares the C♯ of
the B section, the third of A major.
Before concluding this discussion, I want to say a few words about the char-
acter of this beautiful movement. The A sections are very calm, building to a
climax in each of the phrases, but then subsiding. The sense of calm is con-
veyed in part by the rhythm, but more significantly by the very slow pace of
harmonic motion. By contrast, the B section exhibits greater rhythmic activity,
a much more active pace of harmonic activity, and the potential for excursions
into more remote harmonic regions, though Schubert pulls back from B-flat
major at the last moment. The measure of silence—yet again an extra measure
in the hypermetric scheme—seems most appropriate before the return to the
ambiance of the opening material.

Finales

Compared to research into Schubert’s treatment of sonata form, relatively

little has been written about his finales, primarily I assume, because many
of them—at least the ones I know—combine procedures associated with
both rondo and sonata forms and thus are difficult to categorize. This is
clearly demonstrated in a recent article by Julian Horton, his response to
articles by Nathan Martin and Steven Vande Mortele, Scott Burnham, and
John Koslovsky on Schubert’s String Quintet. In his table 2, Horton presents

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Beach.indd 182
Example 8.4. Piano Sonata in B-flat Major, D. 960 (II), middleground graph of mm. 1–90
A B A'
N
5… (A: 3… 2… " 3… 2… 1… ) 5…
Nj
N œ œ œ N N j
## œœ œœ œ N j œ j œ
&## # œ nœ
œ œ œœ œœ œ œ œ œœ œœ nœœ œœ
œ œœœ
œœ nœœœ œœ œœ œ
œ
nœœ
œ nbœœ
bœœ nœœ nœ nœ
nœ n œ œœ ## œœ #œœ n #œœ œœ
œ̇œ œœœ œœœ œœ œœ œ œ œœ œ œ œœ #œ œ # œ #œ œœ̇
3rd 5th
1 17/18 41 43/51/68 50/58/75 79 85 90
? #### œ œ œ nœ œ bœ nœ œ #œ #œ œ
œ œ œ œ œ œ œ œ ˙
˙
œ œ œ œ œ
œ œ œ J œ J
J J J
{ 5 6 5 6
§ 3 !
/E: I 6 IV V7 I V 8 7 vi 0 A: I V , I ii V I 650
IV /Bb: I6 IV V 4 6 5
9 3 4 #
c#: i Vx i iv V7
#
i ii 4
3
V7 i VI iv V i

4/4/2017 4:39:30 PM
 a slow movement and a finale ❧ 183

Example 8.5. Piano Sonata in B-flat Major, D. 960 (II), deep middleground graph
of mm. 1–90
N
5… 5…
j j
##
&## œ̇œ
œ œœ œ œ nœœ bœœ nœœ # nœœ œœ
œ n œ b œ n œ #œ #œœœ #œœ œœ̇

{
œ #œ
A B A'
? #### ˙ nœ œ nœ œ #œ #œ œ œ̇
œ #œ œ
J
6
5
/A: I IV O VR vi 0
c#: i VI iv V7 i

five different interpretations of the formal organization of the finale.3 I give

Horton credit for being thorough, but this strikes me as making something
that is relatively straightforward overly complex. What we are talking about
are hybrid movements that combine elements from two formal types, rondo
and sonata form. From the first of these we have the repetition of the ini-
tial idea, almost always in the tonic key; from the other we have the inclu-
sion of a development section or a developmental portion of a larger section.
Curiously, the least problematic of the six movements I have studied from
this perspective is the finale of the String Quintet, the movement I have cho-
sen to discuss in some detail later on. It is a rondo that includes a develop-
ment within the Aʹ section. Of the remaining five, two are best described, in
my opinion, as consisting of two large parts—an exposition and a recapitula-
tion—plus a coda. These are the final movements from the Piano Trio in
B-flat major and the String Quartet in A minor. The other three, the final
movements from the Piano Trio in E-flat major and the String Quartets in D
Minor and G Major, are hybrids that can be described either as modified ron-
dos or as modified sonata forms. I will discuss these five briefly below.
The final movement of the Piano Trio in B-flat Major (Allegro vivace) is
marked “rondo,” but this label is not an accurate description of its formal orga-
nization—two large parts divided by the return of the opening idea in the sub-
dominant key, a feature of many of Schubert’s sonata forms, at measure 281.
Part 1 consists of two ideas: theme 1 (mm. 1–52) in the tonic key and theme 2
(mm. 52–75) in the dominant, followed by an extensive development of theme
2, which is divided into two sections. Part 2 repeats this pattern, followed by a
coda (presto). The formal organization of the finale from the String Quartet in
A Minor also divides clearly into two large parts plus a coda.4 Part 1 consists
of two ideas—theme 1 (mm. 1–72), which is divided into three sections, in A
major; and theme 2 (mm. 73–113) in C-sharp minor (iii)—plus a retransition

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 184 ❧ chapter eight

leading to the dominant. Part 2, which begins in the tonic key, follows the same
formal pattern, the only significant difference being the inclusion of a devel-
opmental passage (mm. 175–218) within the first theme area. My brief exam-
ination of these two movements suggests that a close look at Schubert’s use
of motives, particularly their employment in subsequent thematic areas, e.g.,
the employment of motives from the first theme area within the second area,
would provide valuable insights into matters of continuity and unity in these
and other works by Schubert.
The more I listen to the final movement of the Piano Trio in E-flat Major
(Allegro moderato), the more I am inclined to describe its formal organiza-
tion as a variant of sonata form, though it clearly combines characteristics
of rondo as well. The deciding factor for me is the return to the opening
idea in the tonic key at measure 441, which signals the recapitulation. The
exposition consists of two clearly differentiated ideas; theme 1 (A), measures
1–72, in E-flat major; and theme 2 (B), measures 73–192, which has a ternary
design, in the dominant. The development falls into three clearly defined
sections: (1) development of theme 1 (Aʹ), measures 193–274; (2) quote of
the main theme from the second movement (C) in B minor (♭vi), measures
275–320; and (3) development of theme 2 (Bʹ), measures 321–440, the last
portion of which anticipates the return, The recapitulation restates the two
themes, the first leading from tonic to subdominant. The final section, the
coda, has two parts: (1) measures 520–623, which combines elements of both
themes; and (2) measures 624–749, which includes a final statement of the
main theme from the second movement.
The final movement of the Quartet in G Major is a hybrid, combining fea-
tures of rondo (the return to A material in the tonic key) and sonata form (the
inclusion of a development section).5 I think a reasonable case can be made to
describe this movement either as a modified rondo or a modified sonata form.
Viewed from a linear perspective without regard to larger groupings, the form
can be outlined as follows: A (mm. 1–73)–transition (mm. 73–93)–B (mm.
93–212)–C (the “chorale,” mm. 212–58)–development of A material plus a
new theme in C-sharp minor (mm. 259–432)–Aʹ, truncated (mm. 432–66)–Bʹ
(mm. 467–581)–Cʹ (mm. 582–629)–A″, coda (mm. 630–710). Because of the
extensive development section, which begins in the tonic, then digresses to sev-
eral keys before leading to the dominant, it seems reasonable also to describe
the form as consisting of a three theme exposition (A, B and C), a develop-
ment, and a recapitulation plus coda.6
A similar situation can be found in the final movement of the D-Minor
Quartet, where there are three clearly differentiated ideas (A, B and C), and the
initial return to A, which begins in the tonic, is expanded by digressions. Thus,
as with the last movement of the G-Major Quartet, it is possible to group the
sections into a sonata form with coda. However, in this instance, my inclination

Beach.indd 184 4/4/2017 4:39:39 PM

 a slow movement and a finale ❧ 185

is to describe this movement as a modified rondo, as follows: A (mm. 1–89)–B

(mm. 90–254)–C (mm. 254–319)–Aʹ expanded (mm. 319–447)–Bʹ (mm. 448–
611)–Cʹ (mm. 611–52)–A″ (mm. 653–707)–coda (prestissimo, mm. 707–55).7
An interesting feature of this movement is the interjection of material from the
A section into the B section, impeding the tonal progression.

String Quintet (IV)

The finale of the C-Major Quintet is a boisterous gypsy rondo that, for me, con-
jures up images of musicians sitting around a fire, playing while their comrades
dance in a circle. There are several reasons for this characterization, beginning
with the strong upbeat character of the opening idea, a feature of the music
that is captured beautifully in the recording I own of the piece by Yo-Yo Ma and
the Cleveland Quartet (CBS Records). There are other features of this opening
idea that contribute to this impression: the use of mixture, in a sense an answer
to the first movement in particular; the employment of grace notes; and the
repetition of the A♭–G motive. From a harmonic perspective, I note the use of
pedals and the exact transposition in the opening phrase (mm. 1–18). Though
we hear the overall progression as V leading to I, the actual sequence of chords
leading to I is G to B♭ to B♮—not V56 but a B-major chord. This would be a
characteristic of common street music, not art music, of the time. Finally, I
note that—with the exception of the developmental passage within the Aʹ sec-
tion (mm. 214–67, see ex. 8.8)—the harmony stays very close to home.
An outline of the form of this movement as a five-part rondo with corre-
sponding tonal motions is provided in table 8.2.8 The A section consists of
two phrases, marked a1 and a2. The first is divided into metric groups of 6 +
6 + 6 (4 + 2) + 8 corresponding to the harmonic progression V (6 +6)–♭VII
(4)–♮VII♯–I (8); as noted above, the overall impression is V leading to I. The
second phrase, which begins from the tonic (upbeat to m. 27) and closes on
the tonic, is divided into metric groups of 8 (5 + 3) + 11 (4 + 7), the last group
providing a strong emphasis on the subdominant. The B section is divided
into three extended phrases, marked b1, b2, and c in the table. The first leads
from I to V of V, followed by a B-major chord to reintroduce the tonic at the
beginning of the second phrase, recalling the original introduction of the
tonic harmony in measure 19. The next phrase (b2), a varied repetition of
b1, modulates to the dominant, and the final phrase introduces a contrasting
idea (cellos) in G minor (v). The section ends on the dominant, the point of
departure for the repetition of the opening phrase of the movement. The first
two phrases of Aʹ are in fact an almost exact repetition of measures 1–45. What
follows is a development of A material, which I have chosen to list as an exten-
sion of Aʹ rather than as a separate section. This is the one place in the move-
ment, except in the coda, where Schubert explores harmonic areas beyond

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 186 ❧ chapter eight

Table 8.2. Formal/tonal organization of String Quintet, D.956 (IV)

A
a1 1–26 C: V → I
a2 27–45 I V I IV V I
B
b1 46–78 V–V of V
b2 79–126 I– [V] V6/G: I6 IV V
c 127–68 i/I (=V)
Aʹ
a1 169–96 C: V → I
a2 197–213 I V I IV V I
dev. of a 214–67
Bʹ
b2 268–319 IV–V
c 320–69 i/I–V
A″ (= coda)
piu allegro 370–400 V...I
piu presto 401–29 I

tonic and dominant. I hear this passage divided into two phrases. The first
(mm. 214–32) develops relationships inherent in the initial phrase of the
movement, that is, G (as V of C minor) to B♭ (as V of E-flat minor) to C♭/
B♮, ending on its dominant. The answering phrase imitates this pattern a half
step lower, that is, F♯ (as V of B minor) to A (as V of D minor) to B♭, which
leads to its dominant. At this point we might expect the Bʹ section to return to
the tonic; instead, the first phrase of this section opens on the subdominant
and ends on the dominant in the minor mode. The contrasting idea (cellos) is
now in C minor, ending on the dominant. The final A section, which also func-
tions as a coda, is clearly divided into two parts, the first of which (piu allegro)
incorporates a reminiscence of the development passage (the emphasis on F♯)
into an expansion of the opening phrase and the piu presto. A puzzling feature
of the movement is the closing D♭–C, which seems somewhat at odds with the
overall tenor of the movement.
A foreground graph of the A section, measures 1–45, is presented as exam-
ple 8.6. Here we can see the details of the prolongation of the initial dominant
by the progression through B♭ and B♮ (and the parallel motion above) to
^
establish the tonic harmony and the primary tone E6 (3) in measure 19, fol-
lowed by their initial prolongation over a tonic pedal in measures 19–26. The

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Beach.indd 187
Example 8.6. Quintet in C Major, D. 956 (IV), foreground graph of the A section

19
A …3
a1 N
j œ œ œ œœ
bœ bœ b œ bœ nœ œ ˙ œ œ œ œ œ œ œ œ
œ bœ œ œ œ bœ
œ œ œ œ bœ œ bœ œ œ bœ bœ # #œœ œ œ
&
1 2 3 4 5 6 1 2 34 56 1 2 3 4 5 6 1 2 3 4 5 6 7 8
ff
? bœ œ œ œ nœ œ ˙ œ œ œ œ œ œ œ
œ œ œ œ œ œ
5 N 7 N 7 N 5 N !7 N G 6
{ 3 4 3 4 3 4 3 4 3 4 # 4
V I

B
35 46
a2 3rd
3rd
œ œœ œ œ œ œ œ œ œ œ œ
œ œ #œ œ œ œ
œ œ œ œ œœ œ œ œ
& œ œ
1 2 3 4 5, 1 2 3, 1 2 3 4, 1 234 5 6
? œ œ œ œ œ œ œ
œ œ œ œ œ œ œ œ
œ œ œ
7
{ #
I O V7 R vi IV V I

4/4/2017 4:39:42 PM
 188 ❧ chapter eight

initial six measures of this opening phrase establish two important features
of this section, modal mixture and the persistent decoration of the covering
tone G by its upper neighbor, repetitions of which are marked in the graph
by brackets. In the initial measures, the repeated pattern is A♭–G; after the
establishment of the tonic, the repeated gesture is A♮–G. In measures 19–26,
the primary tone is prolonged by its upper neighbor and then by an initial
descent of a third. In the second phrase, E6 twice descends this same third,
harmonized first by I–V–I, the second time by a motion through vi to IV, which
is followed by two further statements of the characteristic A–G motive. The sec-
^
tion ends with E6 (3) over tonic harmony.
The following section opens with a four-measure idea that is repeated. As
shown in example 8.7, this idea is based on a descent in the bass from tonic
to dominant, above which an inner voice progresses with it in parallel tenths,
while the top part progresses to and prolongs G via F♯. The change from
underlying model to its representation here comes in the third measure with
the transfer of the melodic parts to the upper octave. From a structural per-
spective, the primary tone, E, has become an inner voice covered by G, and
we can expect this E to lead to D as the music progresses to the dominant.
This does not occur within the first phrase, where the modulation to G is
prepared, but ultimately avoided. Measures 54–76, the continuation of the
four-bar opening idea, prolong a single harmony, V of V, but resolution to
V does not follow, and instead we are led back via the characteristic B-major
chord (a substitute for the dominant) to the tonic for a varied repetition of
the first phrase. The first significant change in this varied repetition comes
at measure 107, the climax of the phrase, where this prolonged dominant
finally resolves to a G-major chord in first inversion, the point of departure
for the modulation to the dominant. Now E, then E♭, prolonged by a voice
exchange and supported by a subdominant harmony in the new key, which
is subsequently transformed into an augmented sixth chord (m. 117), leads
6–5 in the new key. The final phrase exploits the modal
to D over the cadential 4– 3
coloration of the dominant, where D is prolonged by its upper neighbor, E♭.
This phrase leads to cadences on the dominant in measure 135 and again in
measure 141, the latter of which is then extended until the return to the open-
ing idea in measure 169.
In example 8.8 I have produced a foreground sketch of only measures
214–67, the developmental passage following the repetition of the two
phrases from the opening section. You might recall that the original estab-
lishment of the tonic in measure 19 was accomplished by a progression origi-
nating with a modally inflected dominant progressing through B♭ to B♮ to
the tonic. The first portion of this development expands this progression. It
begins with the modally inflected dominant (mm. 214–18), which leads to
B♭ as V of E-flat minor (mm. 219–24), which leads to C♭/B♮, ending on its

Beach.indd 188 4/4/2017 4:39:47 PM

Beach.indd 189
Example 8.7. Quintet in C Major, D. 956 (IV), foreground graph of the B section

46 54 65 79
B
b1 Vn. I œ œ œ
œ œ œ #œ nœ œ œ œ œ #œ
œ œ Vn. II œ
& œ œ #œ œœ #œ œ œ #œ œ œ œ œ œ œ #œ œ
œ œ œ œ œ œ œ œ œ œ œ œ #œœ #œœ
1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 5 6 12 7 8
? œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
œ œ œ œ œ œ
p
{ 6 H
5
6
4
5
#
6
4
5
#
6
4
5
#
6
4
5
#
6
4
5
#
G
#
I V I

107 118 127

b2 œ œ œ bœ
œœœ œœ œ œ œ œœ œ œ œœ œœ
œ
& #œ #œ bœœ nœœœ #œ bœœ nœœœ bœœ #œœ œ
mm. 79 106 are a varied
repeat of mm. 46 78, the
difference being that the
prolonged D major chord
now functions as V of 3 4/1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 5 1
the dominant f
œ Vc.
? œ œ œ œ bœ œ œ œ œ bœ œ œ œ œbœ
œ œ œ œ œ

∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏∏
Vla.
Ä 6 +6 6 6 N 5
5 4 4 4 #
{ G (V): V
2
I IV V7 vi I6 iv vi V i

2… A'
127 135 141 145 149 153 169
c N œ œ œ
œ œ œ œ
œ bœ œ œœ œœ œ œ œ bœ #œœ œœ
œ
& œ œ œ œœ œœ bœœœ
œ œ
1 2 3 4 5 6 7 8 1 2 3 4 5 6 1 2 3 41 2 3 4 1 2 3 4 1 12 2j 3 4 1
œ œ b œœ œœ b œœ œ œœ œ œ œ nœœ œœ œœ œ bœ œ œ œ
? œ bœ œ œ œœ #œœ
œ œ œ œ œ œ œ œ
ff
{ i iv VII7 6 I 5 N
7 #7 8
4
V5 3
C: V 5 N 5
3 4 3

4/4/2017 4:39:47 PM
Beach.indd 190
Example 8.8. Quintet in C Major, D. 956 (IV), foreground graph of the Aʹ section (including development)
214 219 227
A' Dev. of A
œ œ œ œ œbœ bœ bœ œ bœ œ bœ œ bœ bœ nœ
œ bœ œ œ bœ bœ œ bœ bœ bbœœ bbbbœœœœ #œ
& œ bœ œ œ bbbœœœ
œœœ bbœœ b œ
œ œ œ bœ b œ œ bbœœ
mm. 169 213
repeat 1 2 3 4 5 1 2 3 4 5 6 7 8 1
?mm. 1 44 œ bœ bœ œ bœ bœ bœ œ bœ
œ œ œ bœ bœ bœ bœ nœ
N B B G
{ ! ! ! #
V

227 233 238

#œ#œ N
nœ ##œœj # œ # œ n œ #œ œ # œ œ #œ œ œ œ #œ œ œ œ œ œ bœ
#œ œœ œœ #œ œ œ nœ œ #œ œ bœ bœœ
b œœ
œ
& #œ ###œœœ œ œ #œ œ #œ œ #œ œ œ œ œœœ œœœ
#œ #œ
œ #œ œœ œ b œœ bœ
# œœ
1 2 3 4 5œ œ6 1 2 3 4 5 1 2 3 4 5 6 7 8
? nnœœ #œ #œ #œ # œ #œ œ œ œ œ œ œ œ œ
{ #œ œ œ œ œ bœ bœ
G H G H G 6 6 H
# # #

246 268
j j j B'
œœ œœ œ œ bœ œ œ
bœ bœ œ œ œ œ
& œœ
œœ œ œœ œ bœœœ œœœ nbnœœœ bœ nœœ œœœ œœœ #bnœœœ nœ #œœœ œ œœ œœ œœ œ
1 2 3 4 5 6 7 1 2 3 4 5 6 1 2 3 4 5 6 7 8 1
œ œ œ #œ nœ bœ œ œ œ œ #œ œ nœ œ œ œ œ
? bœ œ œ œ œ œ œ
œ œ œ œœ
g œ
6 6 !7 Y Y 7 H H 6 7 6
{ !
B 4 B 4
3 3
V7 OV R ii V7 I IV

4/4/2017 4:39:51 PM
 a slow movement and a finale ❧ 191

dominant seventh chord (mm. 225–32). This F♯7 chord has the potential to
function enharmonically as the augmented sixth chord in B-flat. Schubert
does not follow this path directly; instead, he repeats the relationships of
measures 214–32 a half step lower, which in fact leads him to B♭ major. This
parallel progression begins from F♯ as V of B minor, progresses to A as V of
D minor, and then to B♭, ending on its dominant seventh chord. So in mea-
sure 250 the phrase has landed on an F7 chord supporting E♭ in the top part.
Schubert then transforms this chord into a diminished seventh chord, which
is extended locally and transformed into the dominant seventh in C major.
We might expect Schubert to extend this dominant to prepare the return to
tonic harmony coinciding with the varied repetition of section B. Though
the music does indeed progress to the tonic via a sequential treatment of the
previous measures, Schubert progresses through the tonic to begin the next
section on the subdominant.
As was noted in chapter 4, one of Schubert’s solutions to tonal organiza-
tion in sonata form was to begin the recapitulation in the subdominant, so
that the earlier motion from I to V is answered by IV (through V) to I. Here,
in a parallel situation, the earlier modulation within the B section from I to V
is answered by a motion from IV. By eliminating repetition of the first phrase
of B, the time spent on the subdominant is reduced considerably; here, in this
transposed b2 phrase, it progresses directly to the prolonged V and on to I6 in
measure 300, the equivalent of measure 107. Modal inflection is then intro-
duced in measure 304. The minor subdominant is first prolonged by a voice
exchange and is then transformed into an augmented sixth chord leading to
an extended cadential 4– 6–5; this reintroduces the important A♭–G motive from
3
the opening measures of the movement. Then, with the statement of the trans-
posed c phrase, we hear the model inflection of the tonic as well. In the final
^
measures of this section, beginning in measure 334, E6 (3) is reinstated and
initially prolonged by a descending third. In the progression to the dominant,
this E6 becomes the source of two lines, the top one moving to F6, then by
octave transfer to F♯5 and on to the covering tone G5 in measure 370. The
lower line leads from E6 to D6 and via an octave transfer, the line continues
into an inner voice.
It was noted earlier that the first part of the final section involves an expan-
sion of the opening phrase. The expansion occurs in the initial part of the
phrase, the prolongation of V (mm. 370–88), after which the phrase continues
^
as before to B♭, then to B♮, to introduce tonic harmony and E6 (3) in measure
395. The prolongation of V involves first a resolution to the minor tonic (m.
374), then the following motion in ascending parallel tenths from E♭/I to D5/V,
after which the harmony changes to a B-minor chord followed by its dominant.
Above this the top voice, now on D6, ascends toward G6; however, at the last
minute, the resolution of F♯6 is transferred an octave lower to G5, returning to

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Beach.indd 192
Example 8.9. Quintet in C Major, D. 956 (IV), foreground graph of the Bʹ section

A'' 370 to m. 395 389

nœ œ #œ œ #œ #œ œ œ #œ œ œ #œ bœ
œ bœ œ œ #œ #œ œ œ gœ œ œ
& œ bœ œ œ œ œ bœ nœ #œ œ œ
1 2 3 4 1 2 3 4 5 6 7 8 1 2 3 4 5 6 1
fz p cresc. cresc. ffz
? œ bœ œ œf #œ œ #œ œ
œ bœ œ œ #œ œ œ œ œ œ œ bœ
p
{ #
G
#
G
#
6
4
7
G
8
3
V
w

389 395 3… 2… 1… 401

N più presto (coda)
j
bœ nœ œ ˙ œ œ œ œ œœ œœ œ̇ ˙
bœ bœ nœ bœ bœ nœ nœ œ J
&
1 2 3 4 5 6 1 2 3 4 5 6 1
ffz fff
? ˙ œ œ œ
bœ œ œ œ nœ œ
œ œ œ
{
I

401 423
œœ œ œ œœ œ œ œ œ œ œœœ œœœ œ
œ œ œ œ œ
& j
œ œ œ bœfi œ
5th
1 2 3 4 1 1 2 3 4 1
? j
œ œ ~~~ œ bœ œ
œ œ œ œ œ œ b Ÿœ œ œ œ bÆœJ œ
J6 J
{ p
N
fff

4/4/2017 4:39:58 PM
 a slow movement and a finale ❧ 193

the point of departure for this entire passage (measure 370; see the dotted slur
^
in ex. 8.9.) Returning now to measure 395, E6 (3) is initially prolonged by its
upper neighbor before leading through D6 to closure in measure 401.
Example 8.10 contains only portions of the following coda (piu presto),
in which we hear statements in various octaves of the A–G/A♭–G motive.
Beginning in measure 416 we also hear the decoration of C4 by its upper
neighbor, D4. Perhaps the closing D♭–C is simply a modal answer to the ear-
lier diatonic motion, though it is tempting to assign greater meaning to this
final gesture.
Example 8.11 is a middleground sketch of the entire movement. The fun-
damental structure involves a double interruption before the final descent to
closure in measures 395–401. The first interruption occurs at the end of the B
^
section at measure 153. The primary tone E6 (3) is established at measure 19
in the A section. Then, in the B section, E, which is covered by G, progresses
through E♭, which is extended by a chromatic voice exchange, to D supported
by V. The primary tone and tonic harmony are then reinstated in the Aʹ sec-
tion at measure 187, which are prolonged by a middleground voice exchange
controlling the remainder of the section, including the development passage.
Because the Bʹ section begins on the subdominant harmony, the primary tone
and tonic harmony are not restated until measure 320, near the close of the
^
section, which ends on D6 (2) supported by dominant harmony. This is the
second interruption of the fundamental line. The tonic harmony and the pri-
mary tone are restated once more in the final section at measure 395. Closure
^
follows over a tonic pedal, that is, without proper support for 2, perhaps fitting
in consideration of the underlying character of the movement.
In my opinion (and I know I do not stand alone in this view), this Quintet
is Schubert’s greatest achievement in instrumental music, certainly in chamber
music. I have written about the first and second movements elsewhere and in
part 1 of this book.9 I have also presented an analysis of the scherzo movement
in chapter 5, and it is fitting that I end this study with an examination of the
finale. This intriguing movement opens with an imitation of a gypsy dance, but
the movement becomes much more than that. It is a fitting ending to a great
work of art.

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Beach.indd 194
Example 8.10. Quintet in C Major, D. 956 (IV), foreground graph of the A″ section

A B A' B'
3… 2… " …3

œ̇ œ œ œ œ bœ b œ n œ œ̇ œ œœ œ œ
œ bœ nœ œ œ #œ œ #œ œ œœ œ̇ n#œœ œœ œ œœœ œœ
& #œœ œ
19 46/79 107 127 169 187 (Dev.) 268
? ˙ œ œ œ œ bœ œ bœ nœ ˙
{ œ bœ nœ ˙ œ œ œ œ œ

Ä 6 H 6 4 6
2 ! B # 4 2
I V I IV

B' 3… 2…
A'' 3… …2 …1
"
3… …2 … 1
œœ œœ nœ n˙ œ œ œ œ̇ œ œ ˙ ˙
œ œ œœ b œ
#œ bœœœ bœ œ œ nœ œ̇ #œœ œœ œ bœ nœ
& œœ bœœœ

268 300/304 320 328 334 346 354 370 395 401
? œ
œ bœ œ ˙ œ œ œ ˙ œ bœ nœ ˙ œ œ
{ œ œ œ œ

6 4 6 N 5
4 2 4 3
IV V I iv V i I V I I

4/4/2017 4:40:05 PM
Beach.indd 195
Example 8.11. Quintet in C Major, D. 956 (IV), middleground graph of the entire movement

268 276 340 364

B'
b2 œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
œ Vla. œ œ œ œ œ
& œ œ œ œœ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
œ œ
œ œœ œ œ œ œ œ œœ
œ
1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 5 6 12 7 8/1 2 3 4 1
? œ œ œ œ œ œ œ
{ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
6 4 6 5 6 5 6 5 6 5 6 5 5 IV V7 vi
3 4 3 4 3 4 3 4 3 4 3 #
IV V I6 I6

304 311 320 238

œ c
œ bœ œ bœ b œœ œœ œœ
& œ œ œ œœ #œ bœœ nœœœ #œ bœœ nœœœ bœœ œœ œœ
bœœœ œœ
bœœ œœ bœœ œœ œœ œœ œ œ nœ
Vc.
1 2 3 4 1 2 3 4 1 2 3 4 5 1 2 3 4 5 6 7 8 1 2 3 4 5 6
? œ œ œ bœ œ œ œ œ bœ œ œ œ œ bœ nœ œ
œ
+6
6 +6 6 6 N 5 !7 6
{ I6 iv 5 V4
5
4 4 3 i iv VII V 5 I

A''
3rd
334 346 370
œ œ œ œ n œœœ œ œ œ œ œœ
œ œ œ
œ #œœ œœ
œ
&
1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 12 2j 3 4 1
bœ œ œ œ
? œ bœœœ œ œ
bœœœ œœ
{ œ œ œ œ œ œ

7 #7 8
I iv V7 I iv V 5 N 5
5 4 3

4/4/2017 4:40:09 PM
 Epilogue
Thoughts on Schubert’s
Mature Instrumental Style

This entire book has been about the characteristics of Schubert’s mature
instrumental style, presented either directly, as in the opening chapters, or
indirectly, through a series of analyses. Some of these characteristics appear
only in his late works, while others are found, to a lesser extent, in his earlier
works, as well. I will summarize my observations briefly in the following para-
graphs, beginning with his treatment of form.
It seems that one area that occupied Schubert throughout his career was
striving to find solutions to formal/tonal organization, particularly in relation
to sonata form. We can see this in some of his earlier works, like the Symphony
no. 2 in B-flat Major, D. 125 (1815). The exposition from the first movement
of this work has the unusual formal/tonal scheme of theme 1 (B♭)–theme 2
(E♭)–theme 1 repeated (F); the recapitulation answers with theme 1 (E♭)–
theme 2 (B♭)–theme 1 (B♭). Later this type of construction would manifest
itself in the three-theme/three key exposition in the first movements of such
works as the Piano Trio in E-flat Major, the Piano Sonata in B-flat Major and the
String Quintet in C Major. As important as this innovation may be, Schubert’s
most radical and pervasive innovation in this area is the idea of transposing
the key relationships from the exposition into the recapitulation to end, rather
than begin, on the tonic. This led to some extreme examples, like the sec-
ond movement of the “Trout” Quintet, but more frequently appeared in move-
ments where the key scheme of I to V from the exposition was answered by IV
to I in the recapitulation (the “subdominant recapitulation”), as in the first
movements of the Symphony no. 5 (1816) and the “Trout” Quintet (1819).
What I find particularly fascinating is that Schubert seems to have combined
this procedure with the traditional practice of beginning the recapitulation in
the tonic key in some of his late works, like the first movements of the Octet,
the String Quintet and the Quartet in G Major. In all these movements, the

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 epilogue ❧ 197

recapitulation begins on the tonic, but this tonic is soon transformed into V of
the subdominant, from which point the remainder of the recapitulation pro-
ceeds in large part as a transposition of the exposition. This same procedure
is followed in the second movement of the “Unfinished” Symphony, where the
brief tonic return introduces the subdominant in the progression I–vi–(I)–
IV–V–I that unifies the entire movement. This is a progression that Schubert
employed frequently in his music, not only within formal units but also across
formal boundaries.
As long as we are addressing Schubert’s innovations in formal/tonal rela-
tionships, something should be said about his finales. It seems that several of
these movements from the late works are hybrids that combine features associ-
ated with rondo (mainly the recurrence of a main idea, most frequently in the
tonic) with one associated with sonata form (namely, a development section).
A logical argument could be made to describe several of these finales as either
modified rondos or modified sonata forms. That raises an interesting point:
whatever label is attached to a particular movement does not affect the under-
lying structure. This thought reminds me of the importance of separating the
notion of tonal design (e.g., key succession) from tonal structure (voice lead-
ing). Schubert’s innovations in sonata form are often described in terms of
keys, as I have done above, but this is an entirely different matter than tonal
structure. For example, the return to the tonic at the beginning of the reca-
pitulation is a return to the home key, but, as we have seen, not necessarily a
structural return. Determining whether this is a “real” return or passing on its
way to the subdominant is a matter of structural interpretation that has a direct
impact on our interpretation of the underlying voice leading.
A second area we must consider in describing Schubert’s mature instrumen-
tal style is his treatment of harmony. In fact, if I were asked to identify the one
most outstanding characteristic of his style, my answer would have to be modal
mixture, which pervades multiple levels of organization in his music from the
occasional coloration of certain scale degrees (especially the use of ♭3^ and ♭6, ^

but also ♭2 and ♭7) to deep levels of the structure. I doubt one could find
^ ^

an instrumental work from the late period that does not incorporate mixture
at some level. Frequently ♭III and ♭VI become goals in Schubert’s music.
Consider, for instance, the opening example in chapter 1, the first fifty mea-
sures from the first movement of the Piano Trio in E-flat Major. Within the first
theme area there is a parenthetical insertion in the key of G-flat major (♭III),
which later becomes the dominant of ♭vi (C-flat minor, a second level of mix-
ture), notated by Schubert as B minor, the initial key of the second theme. The
third example in that chapter is the trio from the A-flat Impromptu (D. 935),
which is in the key of the minor subdominant (D-flat minor). In the excerpt
provided, the progression is: i–[V]–bVI (notated as an A-major chord)–iv–V–I.
Consider also the role of ♭6 and ♭VI at multiple levels in the first movement

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 198 ❧ epilogue

of the B-flat Piano Sonata (see chapter 6). Other examples where mixture
pervades multiple levels of structure are the first movements of the G-Major
Quartet and the C-Major Quintet.
Another chord that has an important role in several of Schubert’s late works
is the major triad on the mediant (III♯) in the major mode. Several examples
were given in chapter 1 from the initial movements of the Quartet in G Major
(ex. 1.8), the Piano Trio in B-flat (example 2.10), and the C-Major Quintet
(exx. 1.11 and 1.12). In some instances III♯ is functioning as an extension or
substitute for the tonic; in other circumstances it replaces the dominant. Later,
in our analysis of the initial movement of the Quartet in D Minor (chapter 7),
the initial modulation to A was eventually interpreted as an extension of the
mediant (that is, as III♯ of F (III)) rather than the structural dominant. I have
also provided examples of the middleground progression ♭VII–V in the first
and third movements of the Piano Trio in B-flat and the second movement
of the Octet (ex. 1.13), though this progression does not seem to occur fre-
quently enough to be considered a characteristic of his style.
A feature of Schubert’s music that is most definitely characteristic of his
style is his frequent use of chains of thirds, particularly chains of descend-
ing major thirds. In isolation, this progression is not within the boundary of
major/minor tonality, but in context, it normally appears as a chain of three
major thirds prolonging either the tonic or the dominant. Very clear examples
of this phenomenon are found in the initial movements of the Quartet in G
Major (ex. 1.15) and the Piano Trio in E-flat Major (ex. 1.16) and the third
movement of the String Quintet in C Major (ex. 5.7). In a somewhat different
circumstance we find a chain of two descending major thirds connecting III
and V in the scherzo movement of the Piano Sonata in A Minor, D. 845 (ex.
5.2). Here the connection between C (III) and E (V) is made by a middle-
ground progression from C to A♭ to E.
Another clear characteristic of Schubert’s mature writing is his enharmonic
treatment of the augmented sixth/V7. A textbook example of the duality of the
augmented sixth chord is found in the second theme (C-sharp minor) from
the second movement of the “Unfinished” Symphony (see ex. 1.19). The first
phrase of the theme ends with the progression +56–V–i. However, in the varied
repetition of the phrase the augmented sixth chord is reinterpreted as V7 of
D major (♭II). A similar situation occurs in the Moment musical no. 6 in A-flat
major. Here the use of the augmented sixth chord as the dominant of ♭II
comes at the end of this short piece, visually disguised by Schubert’s change
of notation of ♭II as an A-major chord (see ex. 1.18). As a third example, I
refer you that wonderful passage (mm. 19–26) in the first movement of the
Piano Sonata in A Minor, D. 845, where the dominant is prolonged locally by
a repeated F7 chord, which keeps pulling us toward the key of B-flat: however,
at the last moment, Schubert rewrites the E♭ as D♯, the augmented sixth, and

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 epilogue ❧ 199

the chord resolves to the cadential 46–35 to i. This F7 reemerges in the trio of
this movement, where it leads briefly to B♭, again within the local context of
A minor, here functioning as iii in F major. The phrase ends on an A7 chord
(III♯),
7 and the next phrase begins on the local tonic (F). While we are consid-
ering Schubert’s enharmonic treatment of chords, I will mention briefly his
occasional treatment of the diminished seventh chord. I gave one example
toward the end of the first chapter (from the second movement of the G-Major
Quartet). Another example of more than one use of the same diminished sev-
enth chord is found in the first movement of the Piano Sonata in B-flat, though
here the relationship is not so obvious, because its uses are not in close proxim-
ity. The same chord is used to lead to the second theme (F-sharp minor) and
to the dominant of F major, the key of the third “theme” and the goal of tonal
motion within the exposition.
So far we have discussed characteristics of Schubert’s style in relation to his
innovations in the area of form and harmony.1 I would like to end with a con-
sideration of the character of three movements from his late works, movements
that are special by virtue of their conception and/or content. The first of these
is the second movement of the String Quintet in C Major, particularly the B sec-
tion, with its extreme agitation and relentless return to the F-minor chord, even
as the phrase is gradually expanded in what sounds like an outburst of anger that
rushes in and subsides in expanding waves. This section is all the more effective
following the relative calm of the hymn-like A section (inner parts) with its serene
suspensions. The eeriest (almost other-worldly) passage in Schubert’s music is
the B section from the second movement of the Quartet in G Major. Again, this
is an angry outburst following a beautiful and peaceful A section (the cello solo).
But its similarity to the passage just mentioned from the second movement of
the Quintet ends there. This passage is almost incoherent, in the sense that the
feeling of tonal direction is temporarily suspended. Furthermore, the phrases
are divided into segments consisting of very different gestures in close proximity.
The scariest element is the repeated two-note figure stated by violin 1 that hovers
above the confusion below, almost like an evil omen.
Finally, I would like to say a few words about the first movement of the
G-Major Quartet, which I think is Schubert’s most innovative work among
these late pieces. In this movement, Schubert flirts with equal division of the
octave, including the whole-tone scale, though he always pulls back, ultimately,
to the tonal system.2 This is evident in the opening idea, with its descending
bass line that, though chromatic in its details, is organized to emphasize the
descent in whole steps. This aspect of organization is also evident in a later
passage organized by descending major thirds—again, a manifestation of the
equal division of the octave, though, as we have seen, this passage prolongs the
dominant. I take this movement to be an experiment of sorts. It is unlike any-
thing else Schubert wrote, and it makes one wonder where it might have led.

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 Notes
Chapter One
1. For example, I have decided to indicate matters related to the important topic
of phrase rhythm here (metric groups, phrase overlap, and parenthetical inser-
tion), though these topics are not discussed in detail until the second chapter.
2. Another shorthand system I have adopted is to indicate the German form of
the augmented sixth chord, which is an altered subdominant, as +56.
3. Detailed graphs of part I and the final phrase of this movement are contained
in Beach, “Phrase Expansion,” 27–47. This particular passage is also discussed
in Beach, “The Submediant as Third Divider”; see fig. 6, p. 321.
4. Note the regular pattern of quadruple hypermeter throughout. We will take
up this topic in chapter 2.
5. This example was discussed in Beach, “The Submediant as Third Divider”; see
fig. 7, p. 323.
6. This example was also discussed in “The Submediant as Third Divider”; see fig.
8, p. 324.
7. A further example is noted by Ernst Oster in his lengthy footnote regarding
procedures in sonata form on pp. 139–41 of his translation of Schenker’s Free
Composition. It is the first movement from the Sonata in A Minor, D. 537, in
which the progression I–vi–IV–V–I spans all three parts of the movement.
8. Here I am using “flat” to mean “lowered,” even though in some keys “lowered”
is written as a natural, not a flat.
9. The following are three of many such examples in Schubert’s music, all three
involving excursions to ♭III following a change of mode: (1) the Impromptu
in E-flat (D. 899, no. 2), mm. 25–52; (2) Symphony in B Minor (D. 759), sec-
ond movement, mm. 18–31; and 3) the “Trout” Quintet (D. 667), first move-
ment, mm. 75–84.
10. Beach, “Modal Mixture,” 73–100; and “Schubert and Equal Division of the
Octave,” 249–60.
11. The opening gesture of the recapitulation reverses this modal change, pro-
gressing from minor to major.
12. As a result of this imitation, a conflict in hypermeters arises between the pairs,
as indicated in example 1.7. Eventually the upper pair seems to establish a new
grouping that continues to the cadence in measure 54.
13. It is a B-major chord by implication, having been introduced by an augmented
sixth chord on C. However, this “chord” is incomplete, with all instruments

Beach.indd 200 4/4/2017 4:40:17 PM

 notes to pp. 21–71 ❧ 201

sounding Bs. We also hear this progression in the introduction to the first
movement of the Symphony in C Major, D. 944 (“The Great”). In measures
27–29 of that movement we hear a B-major chord (V of iii) progress to V7 to I.
14. In an earlier publication I suggested that the chain of major thirds begins with
the dominant of V at the end of part 1, thus traversing an octave. While this is
certainly feasible, I think the interpretation given here is preferable, since it
reflects the emphasis given to ♭VII. See Beach, “The Interaction of Structure
and Design,” 239–58.
15. An example of a chain of descending minor thirds is shown in example 1.20 in
the section on modulation. This example is a simplification of measures 40–63
from the second movement of the G-Major Quartet.
16. In both examples given, it is the augmented sixth chord that assumes dual
roles. But the same is true of the dominant seventh chord; it can function as an
augmented sixth chord, in which case it leads to the dominant of a key that is a
half step lower than the previous one.
17. I have not labeled the chords in measures 152–53. The chord in measure 153
is ii56 in the indicated key.
18. An interesting feature of this passage comes in measure 202, where a D-major
chord in first inversion substitutes for the expected cadential six-four in the
original key. This striking substitution would seem to anticipate the appear-
ance of the key of D major in conjunction with a statement of theme 2 in the
recapitulation.

Chapter Two
1. Beach, Advanced Schenkerian Analysis, 58.
2. One movement in Schubert’s late instrumental music that does not exhibit
clear hypermeter throughout is the opening movement of the C-major
Quintet, D. 956.
3. See, for example, the Scherzo movement from the Symphony in C Major, D.
944.
4. The term “shadow” meter was introduced by Frank Samarotto in “Strange
Dimensions,” p. 235.
5. This phrase is discussed in Beach, “Phrase Expansion,” 31–51.

Chapter Three
1. For those interested in structural analysis, this F♯ is a covering tone. The pri-
^
mary tone is D (3), reached in conjunction with a brief tonicization of III.
2. For more information regarding connections between the two movements of
this symphony, see Beach, “Schubert’s ‘Unfinished’ Symphony.”
3. The bass line as provided here is a simplification of the pizzicato part in the
score.

Beach.indd 201 4/4/2017 4:40:18 PM

 202 ❧ notes to pp. 78–84

4. This relationship was brought to my attention in a recent conversation with

Patrick McCreless, Professor of Music at Yale University.

Chapter Four
1. These three statements are clearly marked as related by their opening gestures
(four sixteenth notes followed by an octave leap up to a half note) and their
strong dynamic articulations.
2. Saving theme 1 to initiate the recapitulation—that is, withholding it from the
development—makes its entrance all the more dramatic.
3. Not shown in example 4.1 is an outline of the key relationships in the reca-
pitulation, where the initial statement of theme 2 is stated in the major tonic,
and the second statement is stated a major third lower (in B-flat major), a fifth
lower than in the exposition.
4. The development section to this point is divided into two parts, the first based
on theme 1 and the second based on theme 2. The second part begins in A-flat
major (♭VII), a sonority that is exploited in this movement.
5. See, for example, the two-part article by James Webster, “Schubert’s Sonata
Forms.”
6. This procedure is not unique to Schubert. One precedent that comes to mind
is the first movement of Mozart’s Piano Sonata in C Major, K. 545. The term
“subdominant recapitulation” is rife with contradictions. It is used specifically
to refer to the return of the first theme in the key of the subdominant, which
is an aspect of formal design. However, from the perspective of structural voice
leading (Schenker), the term recapitulation implies the return to the tonic.
One solution to this confusion of terminology is to make a clear distinction
between formal return and structural or tonal return.
7. An early example of this plan can be found in the first movement of Symphony
no. 2 in B-flat Major, D. 125, though here there is an additional feature of
interest to this discussion. The exposition consists of two themes stated in
the keys of B-flat major (I) and E-flat major (IV), but then the first theme is
repeated in the key of F major (V). In the recapitulation this same thematic
succession is repeated in the keys of E-flat major (IV), then B-flat major (I) for
themes 2 and 1.
8. An earlier movement that exhibits a “dominant recapitulation” is the Finale
from Symphony no. 3 in D Major, D. 200, in which the key succession of the
exposition, D major (I) to G major (IV) is answered in the recapitulation by A
major (V) to D major (I).
9. Perhaps the most extreme example occurs in the first movement of the Piano
Sonata in B Major, D. 575. Here there are four themes, stated in the exposition
in the keys of B major (I), G major (♭VI), E major (IV) and F-sharp major (V).
This pattern is transposed in the recapitulation to begin in E major (IV) lead-
ing eventually to the tonic.
10. We examined this passage in the first movement. See example 1.2.

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 notes to pp. 85–138 ❧ 203

11. A detailed examination of this movement is provided by Su Yin Mak in

“Structural and Form-Functional Ambiguities.”
12. See the following: Beach, “Schubert’s Experiments with Sonata Forms,”
1–18; and Martin and Vande Moortele, “Formal Functions and Retrospective
Reinterpretation,” 130–55.
13. Ernst Oster, footnote to his translation of Schenker’s Free Composition, 140.
14. You may have noted that in both instances, all members but the dominant in
this progression are represented as keys. The dominant, of course, is necessary
to completion of the progression, however presented in the music.
15. An excellent source of information about voice-leading procedures in develop-
ment sections by various composers, including Schubert, is Edward Laufer’s
“Voice-Leading Procedures,” 69–120.
16. As occurred earlier in the movement, the chain of major thirds is articulated
musically by the entrances of the upper strings. At more immediate levels the
thirds are filled in by whole steps, each decorated by its lower neighbor.
17. These passages were discussed in the final section of chapter 1.

Chapter Five
1. See William Caplin’s Classical Form, 9–11, for a detailed account of sentence
construction.
2. The basic idea of measures 1–5 is the rhythmic pattern eighth note-eighth
note-half note, the unifying motivic idea of the movement.
3. It is possible to show these five measures as an expansion of four because of
the repetition of the opening gesture (1–234), but there seems little advantage
in doing so.
4. John Koslovsky interprets the design of this period as an antecedent (1–16)–
consequent. See his article, “Timeless Reflections,” 168–93.
5. Reductions are useful to show underlying voice leading in reference to the
supporting harmony, but this is one of those instances where the result is
potentially at odds with our perception.

Chapter Six
1. Schubert published this sonata with the title “Première Grande Sonate” and a
dedication to Archduke Rudolph of Austria.
2. The reference to this idea in the Trio of the Scherzo movement was noted in
the previous chapter.
3. Expansions of this type occur typically within a repetition of an idea or phrase.
4. Since the entire development section is based on theme 1a, it is not surprising
that Schubert chose to delay its restatement in the tonic key until later.
5. This follows Schubert’s practice of stating the second of three key areas in the
recapitulation a fifth lower than in the exposition.

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 204 ❧ notes to pp. 139–183

6. Note that I have indicated measure 33 as an added measure in the hypermet-

ric grouping. I have done so because this is the one measure that does not fit
the prevailing duple pattern.
7. Though the development section begins in C-sharp minor, I interpret this as
the middle member of a descending chain of major thirds connecting F to A,
the beginning of sequence 1.

Chapter Seven
1. The bass line as indicated in measures 87–90 of the sketch is not the true
sounding bass.
2. This digression has been omitted from the graph to conserve space.
3. Since I have not analyzed the harmonic progression of measures 141–57 on
the graph, I will describe it in words. First, Schubert changes the lowest note
of the diminished seventh chord, G♯, to A♭ as seventh of a B♭7 chord, which
leads to an E♭ chord (first major, then minor), potentially the supertonic in
the key of D-flat major. Once again, Schubert avoids resolution of the follow-
ing dominant, substituting another diminished seventh chord, this time built
on A, for the prepared resolution to D♭. Schubert then treats this diminished
seventh chord enharmonically, and with the resolution of C to B forms a
B-major seventh chord in four-two position, which leads to the E-major chord
in first inversion in measure 158.
4. Since the function of middleground graphs is to reveal underlying connec-
tions, they frequently show succeeding events in a single register where there
are octave changes in the music, as is the case here.
5. This procedure is not new in Schubert’s work. See, for example, the
Quartettsatz, D. 703.
6. The parenthetical insertion in this phrase was shown differently in example
2.7. Though I prefer the interpretation given here, I decided not to change
the earlier one, since it is interesting to compare the two.

Chapter Eight
1. I have written about the A and B sections of the second movement of the
C-Major Quintet in “Phrase Expansion,” 27–47. I also presented a paper, “The
Slow Movements from Schubert’s B-flat Piano Sonata and the Piano Trios (D.
898 and 929): Aspects of Design and Structure,” at the Schubert Conference,
Schubert’s Piano Music: A Symposium and Festival of Concerts, Smithsonian
Institution, Washington DC, April 5–9, 1995.
2. This same example was given in chapter 1 (ex. 1.4a) to demonstrate the use of
this descending third progression across formal boundaries. See also note 5 in
that chapter.
3. Horton, “Stasis and Continuity,” 206.

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 notes to pp. 183–199 ❧ 205

4. Though the quartet is considered to be in A minor, the last movement is in

A major with references to A minor, the reverse of what occurs in the first
movement.
5. Like the first movement of this quartet, the Allegro assai features tonic mixture
in the opening section.
6. Regardless of whether this movement is described as a rondo or a sonata form,
the interruption of the fundamental structure would fall at the end of the
development.
7. Here it would appear that the interruption of the fundamental structure would
occur prior to Aʹ.
8. This movement could also be described as a seven-part rondo by dividing each
of the sections I have identified as Aʹ and A″ into two parts.
9. Beach, “Schubert’s Experiments with Sonata Forms,” 1–18; and Beach, “Phrase
Expansion,” 27–47.

Epilogue
1. I will not be discussing phrase rhythm and motive in this context. Though
important feature of Schubert’s music, they are not unique to his mature style.
2. I explored this notion in “Schubert and Equal Division of the Octave,” 249–60.

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 Selected Bibliography
Beach, David. Advanced Schenkerian Analysis: Perspectives on Phrase Rhythm, Motive,
and Form. New York: Routledge, 2012.
———. “Harmony and Linear Progression in Schubert’s Music.” Journal of Music
Theory 38 (1994): 1–20.
———. “The Interaction of Structure and Design in the Opening Movements of
Schubert’s Piano Trios in B-flat Major (D. 898) and E-flat Major (D. 929).” In
Bach to Brahms: Essays on Musical Design and Structure, edited by David Beach and
Yosef Goldenberg, 239–58. Rochester, NY: University of Rochester Press, 2015.
———. “Modal Mixture and Schubert’s Harmonic Practice.” Journal of Music Theory
42 (1998): 73–100.
———. “Phrase Expansion: Three Analytical Studies.” Music Analysis 14 no. 1
(1995): 27–47.
———. “Schubert and Equal Division of the Octave: A Study of the First Movement
of the G-Major Quartet.” In Le style instrumental de Schubert: Sources, analyse, evolu-
tion, edited by X. Hascher, 249–60. Paris: Publications de la Sorbonne, 2007.
_____. “Schubert’s Experiments with Sonata Forms: Formal-Tonal Design versus
Underlying Structure.” Music Theory Spectrum 15 (1993): 1–18.
———. “Schubert’s ‘Unfinished’ Symphony: Analytical Observations.” In Explo-
rations in Schenkerian Analysis, edited by David Beach and Su Yin Mak, 99–122.
Rochester, NY: University of Rochester Press, 2016.
———. “The Submediant as Third Divider: Its Representation at Different Struc-
tural Levels.” In Music Theory in Concept and Practice, edited by James M. Baker,
David W. Beach, and Jonathan W. Bernard, 309–36. Rochester, NY: University of
Rochester Press, 1997.
Beach, David, and Ryan McClelland. Analysis of 18th- and 19th-Century Musical Works
in the Classical Tradition. New York: Routledge, 2011.
Black, Brian. “The Function of Harmonic Motives in Schubert’s Sonata Forms.”
Integral 23 (2009): 1–63.
Brown, Maurice. The New Grove Schubert. London: Macmillan, 1982.
Burnham, Scott, “Thresholds Between, Worlds Apart.” In “Schubert’s String Quin-
tet,” special issue, Music Analysis 33, no. 2 (2014): 156–67.
Byrne Bodley, Lorraine, and Julian Horton, ed. Schubert’s Late Music. Cambridge:
Cambridge University Press, 2016.
Caplin, William. Classical Form. Oxford: Oxford University Press, 1998.
Clark, Suzannah. Analyzing Schubert. Cambridge: Cambridge University Press, 2011.

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 selected bibliography ❧ 207

Cohn, Richard L. “As Wonderful as Star Clusters: Instruments for Gazing at Tonal-
ity in Schubert.” 19th-Century Music 22, no. 3 (1999): 213–32.
Dahlhaus, Carl. “Sonata Form in Schubert: The First Movement of the G-Major
String Quartet, op. 161 (D. 887).” Translated by Thilo Reinhart. In Schubert: Crit-
ical and Analytical Studies, edited by Walter Frisch, 1–12. Lincoln: University of
Nebraska Press, 1986.
Damschroder, David. Harmony in Schubert. Cambridge: Cambridge University Press,
2010.
Fisk, Charles. Returning Cycles: Contexts for the Interpretation of Schubert’s Impromptus
and Last Sonatas. Berkeley: University of California Press, 2001.
Horton, Julian, “Stasis and Continuity in Schubert’s String Quintet: Responses to
Nathan Martin, Steven Vande Moortele, Scott Burnham and John Koslovsky.”
In “Schubert’s String Quintet,” special issue, Music Analysis 33, no. 2 (2014):
194–213.
Hyland, Anne M. “In Search of Liberated Time, or Schubert’s Quartet in G Major,
D. 887: Once More between Sonata and Variation.” Music Theory Spectrum 38, no.
1 (2016): 85–108.
Laufer, Edward. “Voice-Leading Procedures in Development Sections.” In Studies
in Music from the University of Western Ontario 13, edited by Richard Parks, 69–120.
London, ON: University of Ontario, 1996.
Koslovsky, John, “Timeless Reflections: Form, Cadence and Tonal Structure in the
Scherzo and Finale of Schubert’s String Quintet.” In “Schubert’s String Quin-
tet,” special issue, Music Analysis 33, no. 2 (2014): 168–93.
Mak, Su Yin. “Schubert’s Sonata Forms and the Poetics of the Lyric.” Journal of
Musicology 23 (2006): 263–306.
———. “Structural and Form-Functional Ambiguities in the First Movement of
Schubert’s Octet in F Major, D. 803.” In Explorations in Schenkerian Analysis,
edited by David Beach and Su Yin Mak, 123–41. Rochester, NY: University of
Rochester Press, 2016.
Martin, Nathan John, and Steven Vande Moortele. “Formal Functions and Retro-
spective Reinterpretation in the First Movement of Schubert’s String Quintet.”
In “Schubert’s String Quintet,” special issue, Music Analysis 33, no. 2 (2014):
130–55.
Rothstein, William. Phrase Rhythm in Tonal Music. New York: Schirmer, 1989.
Frank Samarotto, “Strange Dimensions: Regularity and Irregularity in Deep Lev-
els of Rhythmic Reduction.” In Schenker Studies 2, edited by Carl Schachter and
Hedi Siegel, 222–38. New York: Cambridge University Press, 1999.
Schenker, Heinrich. Free Composition. Translated and edited by Ernst Oster. New
York: Longman, 1979.
Schmalfeldt, Janet. In the Process of Becoming: Analytical and Philosophical Perspectives on
Form in Early Nineteenth-Century Music. New York: Oxford University Press, 2011.
See particularly chapter 5: “On Performance, Analysis, and Schubert,” 113–31.
Sly, Gordon.“Design and Structure in Schubert’s Sonata Forms: An Evolution
toward Integration.” In Keys to the Drama: Nine Perspectives on Sonata Forms, edited
by Gordon Sly, 139–55. Farnham, UK: Ashgate, 2009.

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 208 ❧ selected bibliography

Smith, Peter. “Harmonic Cross-Reference and the Dialectic of Articulation and

Continuity in Sonata Expositions of Schubert and Brahms.” Journal of Music The-
ory 50 (2006): 143–79.
Suurpää, Lauri. “The Path from Tonic to Dominant in the Second Movement of
Schubert’s String Quintet and Chopin’s Fourth Ballade.” Journal of Music Theory
44 (2000): 451–85.
Tovey, Donald Francis. “Tonality in Schubert.” In The Main Stream of Music and Other
Essays, 134–59. New York: Oxford University Press, 1949.
Webster, James. “Schubert’s Sonata Forms and Brahms’s First Maturity.”19th-Century
Music 2, no. 1 (1978): 18–35; 3, no. 1 (1979): 52–71.
Wollenberg, Susan. Schubert’s Fingerprints: Studies in the Instrumental Works. Farnham,
UK: Ashgate, 2011.

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 Index of Musical Works
Impromptu in E-flat Major, D. 899, no.
2, 61, 200n9
Impromptu in A-flat Major, D. 935, no.
2, 8, 9, 12, 39, 61, 197
Moment musical in A-flat Major, D. 780,
no. 6, 32, 198
Octet in F Major, D. 803: I, 84–85, 196;
II, 24–26, 174, 198; III, 10, 11
Piano Quintet in A Major (“Trout”),
D. 667: I, 39, 41–42, 43, 47, 49, 73,
76–77, 83, 89–91; II, 7–8, 84, 174,
196; V, 38–40, 43, 83–84
Piano Sonata in A Minor, D. 537, 85,
200n7
Piano Sonata in B Major, D. 595, 200n9
Piano Sonata in A Major, D. 664, 36
Piano Sonata in A Minor, D. 845: I,
124, 125–35, 198; II, 174; III, 99,
100–106, 198, 199
Piano Sonata in C Minor, D. 958, 175
Piano Sonata in A Major, D. 959, 174
Piano Sonata in B-flat Major, D. 960: I,
69–70, 78, 83, 89, 135–47, 196, 198,
199; II, 8, 10, 174, 175–83
Beach.indd 209
Piano Trio in B-flat Major, D. 898: I,
13, 14–15, 21, 24, 25, 26, 31, 43, 46,
65–69, 78, 81, 88, 198; II, 10, 11,
174; III, 43, 44, 198; IV, 183
Piano Trio in E-flat Major, D. 929: I,
3–7, 12, 27, 29–30, 42, 47, 50, 51, 53,
73, 75, 82, 87, 95, 196, 197, 198; II,
175; IV, 183–84
Quartettsatz, D. 703, 204n5
String Quartet in A Minor (“Rosa-
munde”), D. 804: I, 30, 46, 53, 61,
70–71, 80, 87, 148–59; II, 174; IV,
183–84
String Quartet in D Minor (“Death and
the Maiden”), D. 810: I, 30, 47, 50,
54, 55–57, 60, 61, 72–74, 80–81, 82,
88, 148, 159–73; II, 174, 199; IV, 183,
184–85
String Quartet in G Major, D. 887: I,
13, 15–18, 19, 20, 26–28, 43, 46, 48,
62, 78, 84, 85, 88, 92, 196, 198, 199;
II, 34, 35, 47, 175, 199, 200n15; IV,
183, 184
String Quintet in C Major, D. 956: I,
21, 23, 24, 30, 31, 54, 62–65, 77, 84,
85, 87, 196, 198, 201n2 (chap. 2); II,
54, 59–60, 174, 199, 204n1 (chap.
8); III, 99, 106–16, 198; IV, 181, 183,
185–95
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 210 ❧ index of music al works

Symphony no. 2 in B-flat Major, D. 125, 35–36, 47, 48, 54, 58–59, 60,
196, 202n7 65–66, 70–72, 87, 92; II, 11,
12, 19, 32–34, 36–37, 50, 52–53,
Symphony no. 3 in D. Major, D. 200, 71, 77–78, 86, 87, 174, 197, 198,
202n8 200n9

Symphony no. 5 in B-flat Major, D. 485, Symphony no. 9 in C Major (“Great”),

83, 196 D. 944: I, 201n13; III, 99, 116–23,
200n3 (chap. 2)
Symphony no. 8 in B Minor (“Unfin-
ished”), D. 759: I, 11, 12, 20, 30, 31,

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 Index of Subjects
augmented sixth/V7 interchange, 3,
30, 32–34, 50, 52, 107, 124, 125,
128, 129, 134–35, 191, 198–99,
201n16
avoidance of the cadence, 54, 65, 72
chain of thirds. See third-chain
closure, 8, 11, 18, 54, 80, 85, 89, 99,
102, 106, 107, 113, 121, 124, 125,
128, 129, 131, 134, 147, 151, 153,
155, 159, 160, 163, 166, 171, 175,
176, 178, 193
covering tone, 102, 106, 109, 111, 129,
153, 155, 159, 163, 168, 175, 188,
191, 201n1 (chap. 3)
diminished seventh chord, uses of, 30,
34, 35, 80, 89, 102, 123, 135, 137–39,
143, 147, 149, 155, 163, 166, 191,
199, 204n3
enharmonicism: modulation, 29, 30,
53, 82; notation/spelling, 32, 34, 69,
82, 83, 87, 91, 95, 116, 119, 139, 175;
treatment/function, 30, 123, 135,
147, 191, 198, 199, 204n3
expression, 60, 159
extension of a goal harmony, 47, 65,
100, 102, 106, 107, 111, 117
extension of a single harmony, 47, 50,
148
finales, 181–85
fundamental line, 106, 113, 129, 131,
153, 155, 163, 168, 171, 178, 193
Beach.indd 211
fundamental structure, 99, 102, 139,
193. See also interruption/inter-
rupted structure
Horton, Julian, 181, 183
hypermeter, 15, 18, 34, 38–46, 47,
48, 53, 69, 107, 117, 119, 148, 151,
153, 176, 200n4, 201n2 (chap. 2);
competing (“shadow”) hypermeter,
39, 43, 117, 119, 148, 155, 200n12.
See also metric groups, metric rein-
terpretation, successive downbeat
measures
interruption/interrupted structure, 99,
155, 168, 176, 193, 205n6, 205n7
lead-in/extended upbeat, 31, 39, 43,
47, 50, 65, 73, 87, 102, 106, 107, 123,
153
major mediant triad (III#), uses of, 3,
18–21, 26, 27, 31, 62, 81, 85, 88, 106,
162, 198, 199
major triad on ♭7 (♭VII), 3, 11, 21–26,
92, 95, 117, 174, 185, 198, 201n14,
202n4 (chap. 2)
metric groups, 3, 6, 38, 43, 46, 155, 185,
200n1
metric reinterpretation, 6, 40, 42, 43,
119, 148
mixture, 3, 11–18, 21, 62, 124, 178, 185,
188, 197, 198, 205n5
motive, 3, 13, 37, 61–78, 80, 81, 100,
123, 124, 125, 128, 129, 131, 135,
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 212 ❧ index of subjects
138, 139, 143, 148, 149, 151, 153,
166, 178, 184, 185, 188, 191, 193
motivic enlargement/expansion, 66,
69, 70, 78, 81, 92, 123, 124, 125, 135,
139, 178
motivic repetition, 61; hidden repeti-
tion, 78
motivic transformation, 72–75
motto, 69, 71, 77, 87, 159, 160, 163
motto theme, 11, 47, 69, 71, 86, 93
Oster, Ernst, 85
phrase expansion, 47–60, 121, 124, 148.
See also avoidance of the cadence;
extension of a goal harmony; exten-
sion of a single harmony within the
phrase; lead-in/extended upbeat;
parenthetical insertion; repetition of
a segment of the phrase
phrase overlap, 39, 40, 42, 43
phrase rhythm, 38–60; definition of, 38
primary tone, 65, 100, 106, 109, 117,
123, 131, 139, 151, 155, 159, 162,
Beach.indd 212
168, 176, 178, 181, 186, 188, 193,
201n1 (chap. 3)
repetition of a segment of a phrase,
47–48
Schenker, Heinrich, 78; Free Composi-
tion, 38, 85
sonata form, formal-tonal strategies
(five types), 79–86
subdominant recapitulation, 83, 196,
202n6
successive downbeat measures, 53, 148,
153, 163
third-chain, 3, 26–30, 82, 85, 92, 111,
198, 201n13, 201n15, 203n16,
204n7
three-key exposition, 82–83, 135, 196
truncated (incomplete) progressions,
34–37, 92–93, 166
voice exchange, chromatic, 102, 109,
151, 155, 193
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